Tag Archives: Larry Allen Stapp

FINRA Fines LPL Financial Stockbroker For Customer Loan

March 07, 2018  |   Posted by :   |   Customer Loans, Investment and Regulatory News   |   0 Comments

Larry Allen Stapp of Midland Texas is a stockbroker formerly registered with LPL Financial LLC who has been fined ten thousand dollars and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity by consenting to findings that he entered into an unauthorized loan arrangement with a customer […]

Read More »