Tag Archives: James Thomas Booth

LPL Stockbroker Barred For Theft Of Customer Funds

April 08, 2020  |   Posted by :   |   Misappropriation of Funds, Securities Arbitration Claims, Stockbroker Theft   |   Comments Off on LPL Stockbroker Barred For Theft Of Customer Funds

James Thomas Booth of Norwalk Connecticut a stockbroker employed by Invest Financial Corporation and LPL Financial LLC is the subject of an Order to Cease and Desist by the Banking Commissioner of the State of Connecticut based upon allegations that Booth engaged in fraudulent activities and had misappropriated funds belonging to customers of Invest Financial […]

Read More »

SEC Charges LPL Stockbroker With Ponzi Scheme

James Thomas Booth of Norwalk Connecticut a stockbroker formerly registered with both LPL Financial LLC and Invest Financial Corporation and the founder of Booth Financial Associates has been charged by Securities Exchange Commission (SEC) in a Complaint alleging that Booth engaged in a Ponzi scheme in which forty investors were defrauded. SEC v. James T. […]

Read More »

LPL Stockbroker Barred By FINRA For Stealing $1 Million

James Thomas Booth of Norwalk Connecticut a stockbroker formerly registered with LPL Financial LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Booth converted funds belonging to customers of the securities broker dealer. Letter of Acceptance Waiver and Consent No. 2019062787101 […]

Read More »