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Tag: James Michael Adgar

Financial newspaper

LPL Discharges Stockbroker For Altering Customer Account Forms

James Michael Adgar of Alameda California a stockbroker formerly associated with LPL Financial LLC has been discharged by the firm on August 28, 2019 supported by allegations that Adgar neglected to abide by the policies of the securities broker dealer as it pertained to the insertion of customer signatures on incomplete documentation to effect transactions….

CategoryForgery
CategoryJames Michael Adgar, LPL Financial L.L.C.

 

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Tags

Aegis Capital Corp Allstate Financial Services LLC Ameriprise Financial Services Inc. AXA Advisors LLC Berthel Fisher & Company Financial Services Inc. Cambridge Investment Research Inc. Centaurus Financial Inc. Cetera Investment Services LLC Citigroup Global Markets Inc. Edward Jones First Allied Securities Inc. First Standard Financial Company LLC Independent Financial Group LLC J.P. Morgan Securities LLC Joseph Stone Capital L.L.C. Laidlaw & Company (UK) Ltd. Lincoln Financial Advisors Corporation LPL Financial L.L.C. Merrill Lynch Pierce Fenner & Smith Inc. MML Investors Services LLC Morgan Stanley National Securities Corporation Newbridge Securities Corporation NEXT Financial Group Inc. Northwestern Mutual Investment Services LLC NYLIFE Securities LLC Oppenheimer & Co. Inc. PFS Investments Inc. Pruco Securities L.L.C. Raymond James Financial Services Inc. RBC Capital Markets LLC Royal Alliance Associates Inc. Sagepoint Financial Inc. Salomon Whitney Financial Securities America Inc. Spartan Capital Securities LLC Stifel Nicolaus & Company Incorporated Summit Brokerage Services Inc. Transamerica Financial Advisors Inc. UBS Financial Services Inc. Voya Financial Advisors Inc. Wells Fargo Advisors LLC Western International Securities Inc Woodbury Financial Services Inc. Worden Capital Management LLC

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