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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Tag Archives: Lincoln Investment Planning LLC
Lincoln Investment Stockbroker Barred By SEC For Fraud
June 22, 2020 | Posted by : Guiliano Law Group | Misappropriation of Funds, Securities Fraud, Stockbroker Theft | Comments Off on Lincoln Investment Stockbroker Barred By SEC For Fraud
FINRA Fines Lincoln For Failure To Supervise Annuities
October 04, 2018 | Posted by : Guiliano Law Group | Failure To Supervise, Investment and Regulatory News, Variable Annuites | 0 Comments
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 : Guiliano Law Group | 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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