Tag Archives: John George Kallis

FINRA Sanctions LPL Stockbroker For Selling Away

July 11, 2020  |   Posted by :   |   Securities Arbitration Claims, Selling Away and Outside Activities   |   Comments Off on FINRA Sanctions LPL Stockbroker For Selling Away

John George Kallis of Louisville Kentucky a stockbroker formerly employed by LPL Financial LLC has been fined $5,000.00 and suspended for forty-five days from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Kallis engaged in undisclosed private securities transactions while employed by LPL Financial. Letter of Acceptance […]

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