Tag Archives: James D. Maendel

LPL Financial Stockbroker Suspended

July 29, 2017  |   Posted by :   |   Unit Investment Trusts (UITs)   |   0 Comments

James D. Maendel, of Farmington Hills, Michigan, a stockbroker formerly registered with LPL Financial LLC, has been fined $10,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he made misstatements on switch forms that were used to effect unit investment trust transactions. […]

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