Tag Archives: Donald George Padilla

FINRA Sanctions LPL Stockbroker For Unauthorized Communications

June 08, 2020  |   Posted by :   |   Investment and Regulatory News   |   Comments Off on FINRA Sanctions LPL Stockbroker For Unauthorized Communications

Donald George Padilla of Alhambra California a stockbroker formerly employed by LPL Financial LLC has been fined $10,000.00 and suspended for five months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on findings that Padilla used unauthorized correspondence channels with customers and had caused LPL Financial to maintain false […]

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Kestra Stockbroker Barred For Failure to Pay Employer Arbitration AwardFINRA

May 13, 2020  |   Posted by :   |   Securities Arbitration Claims   |   Comments Off on Kestra Stockbroker Barred For Failure to Pay Employer Arbitration AwardFINRA

Donald George Padilla of Alhambra California a stockbroker formerly registered with Kestra Investment Services LLC has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that he failed to comply with an Arbitration Award or otherwise respond to a FINRA request concerning his compliance with that […]

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FINRA Investigates National Securities Broker For Violations

October 04, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Donald George Padilla of Alhambra California a stockbroker formerly employed by National Securities Corporation is the subject of a Financial Industry Regulatory Authority (FINRA) investigation concerning possible violations of FINRA Rule 2010, 8210 and 4511 and National Association of Securities Dealers (NASD) Rule 3110. FINRA Public Disclosure reveals that Padilla has been terminated from two […]

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