Tag Archives: Lincoln Financial Securities Corporation

Kestra Stockbroker Barred In Forgery Investigation

August 27, 2020  |   Posted by :   |   Forgery   |   Comments Off on Kestra Stockbroker Barred In Forgery Investigation

Charles Matthew Wernig III (also known as Chip Wernig) a stockbroker formerly registered with Kestra Investment Services LLC has been barred on August 5, 2019 from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that Wernig neglected to provide a response to FINRA after a request for his […]

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Lincoln Financial Stockbroker Selling Woodbridge Notes Sanctioned By FINRA

Imran N. Razvi (also known as Raz Razvi) of Frederick Maryland a stockbroker formerly registered with Lincoln Financial Securities Corporation has been fined $5,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Razvi engaged in outside business activities which involved the […]

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Lincoln Financial Securities Broker Investigated For Lying

September 28, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Donald Eugene Bentley of Mt. Sterling Kentucky a former Lincoln Financial Securities Corporation registered representative is the subject of a Kentucky Department of Financial Institutions investigation into accusations that Bentley made misstatements to the regulator in the course of being audited. Bentley had previously been fined $5,000.00 by The Kentucky Department of Financial Institutions according […]

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Lincoln Financial Stockbroker Fined By FINRA

October 16, 2017  |   Posted by :   |   Customer Loans   |   0 Comments

Kevin Ray Bonner, of Burien, Washington, a stockbroker formerly registered with Lincoln Financial Securities Corporation, has been fined $2,500.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member by consenting to findings that included, inter alia, Bonner’s failure to disclose a customer loan arrangement which he later defaulted on. […]

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