Tag Archives: Lincoln Investment Planning LLC

Investors File Arbitration Claim Against Lincoln Investment Planning For Fake Annuities

February 16, 2021  |   Posted by :   |   Investment and Regulatory News, Variable Annuites   |   Comments Off on Investors File Arbitration Claim Against Lincoln Investment Planning For Fake Annuities

Lester William Burroughs (also known as Chad Burroughs) of Torrington Connecticut a stockbroker formerly registered with Lincoln Investment Planning LLC has been referenced in a customer initiated investment related complaint on October 13, 2020 where the customer requested $126,380.00 in damages supported by allegations that the stockbroker concealed the surrender penalty on an annuity that […]

Read More »

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 […]

Read More »

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 […]

Read More »

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. […]

Read More »