Tag Archives: James Kenneth Couture

SEC Charges LPL Stockbroker With Fraud

July 31, 2021  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News, Misappropriation of Funds, Securities Fraud, Stockbroker Theft   |   Comments Off on SEC Charges LPL Stockbroker With Fraud

James Kenneth Couture of Worchester Massachusetts a former stockbroker of LPL Financial LLC and former investment adviser representative of Private Wealth Management Group has been charged by Securities and Exchange Commission (SEC) with taking part in a scheme to misappropriate $2,900,000.00 from investors. Civil Action No. 1:21-CV-10908 (D. Mass June 1, 2021). According to the […]

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LPL Stockbroker Barred In Investigation Over Altering Customer Statements

November 04, 2020  |   Posted by :   |   Forgery, Securities Arbitration Claims   |   Comments Off on LPL Stockbroker Barred In Investigation Over Altering Customer Statements

James Kenneth Couture of Worcester Massachusetts a stockbroker formerly registered with LPL Financial has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Couture failed to cooperate with FINRA investigators. Letter of Acceptance Waiver and Consent No. 2020067011901 (Oct. 21, 2020). According to the AWC, […]

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