Tag Archives: Lincoln Investment Planning LLC

Lincoln Investment Stockbroker Barred By SEC For Fraud

June 22, 2020  |   Posted by :   |   Misappropriation of Funds, Securities Fraud, Stockbroker Theft   |   Comments Off on Lincoln Investment Stockbroker Barred By SEC For Fraud

Lester William Burroughs (also known as Chad Burroughs) of Torrington Connecticut a stockbroker formerly employed by Lincoln Investment and an investment advisor representative with Capital Analysts LLC is the subject of a Securities and Exchange Commission (SEC) Order Instituting Administrative Proceedings in which Burroughs has been barred from being a stockbroker or investment advisor representative […]

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FINRA Fines Lincoln For Failure To Supervise Annuities

Lincoln Investment a brokerage firm with headquarters in Fort Washington Pennsylvania has been censured and fined $35,000.00 by Financial Industry Regulatory Authority (FINRA) based on consenting to findings that it failed to supervise the rates in which registered representatives made variable annuity exchanges. Letter of Acceptance Waiver and Consent No. 2017052410201 (Sept. 25, 2018). According […]

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Lincoln Investment Planning Censured For Failure To Supervise

September 27, 2018  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News   |   0 Comments

Lincoln Investment Planning LLC a brokerage firm headquartered in Fort Washington Pennsylvania has been censured by Financial Industry Regulatory Authority (FINRA) based upon the firm’s consent to findings that it failed to supervise the firm’s mutual fund sales practices which caused customers to be excessively charged. Letter of Acceptance Waiver and Consent No. 2017053723701 (Sept. […]

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