Lance R. Shaw of Wynnewood Pennsylvania a stockbroker formerly employed by LPL Financial LLC is the subject of a customer initiated investment related arbitration claim which settled for $65,000.00 in damages founded on accusations that (1) unauthorized trades were executed in the customer’s account (2) trades were effected in an excessive manner (3) misrepresentations had…
Lance Shaw of Havcrford, Pennsylvania, formerly registered with LPL Financial LLC, was recently barred from the Financial Industry Regulatory Authority (FINRA) after failing to respond to the FINRA Staff for “information.” FINRA suspended Shaw in May 2016, but decided not to bar him until August 2016. Why FINRA wanted to talk to Shaw is a secret…