Open/Close Menu FINRA Securities Arbitration

Bruce Cameron Amman of Golden, Colorado, a stockbroker formerly registered with LPL Financial LLC, has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Amman engaged in private securities transactions during the time that he was employed by LPL Financial. Letter of…

Nicholas Joseph Travascio (also known as Nicholas Joseph Tarvash and as Nick Tarvash) of Hurst, Texas, a stockbroker formerly registered with LPL Financial LLC, is the subject of a customer initiated investment related written complaint on September 8, 2021, where the customer requested $48,461.00 in damages based upon allegations of the unsuitable purchase of securities…

Kevin Marshall McCallum of Birmingham, Alabama, a stockbroker formerly registered with LPL Financial LLC, is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer requested $725,650.00 in damages founded on allegations that the customer was overconcentrated in a business development company (BDC) when McCallum was registered with LPL Financial LLC….

Steven Martin Barnett of Jacksonville, Florida, a stockbroker formerly registered with LPL Financial LLC, has been fined $5,000.00 and suspended for 30 days from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Barnett mismarked customer order tickets while he was employed by LPL Financial. Letter of Acceptance,…

Michael Walter Mandel of Upper Saddle River, New Jersey, a stockbroker formerly registered with LPL Financial LLC, has been fined $5,000.00 and suspended for seven months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he engaged in private securities transactions while he was associated with Royal…

Howell Gregory Ferguson (also known as Gregg Ferguson), of Bellville, Texas, a stockbroker formerly registered with LPL Financial LLC, has been fined $10,000.00 and suspended for two years from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings of forgery and false statements to the regulator by Ferguson during…

Cynthia Ann Giovacchino of Ansonia and Shelton, Connecticut, a stockbroker currently registered with LPL Financial LLC, is identified in a customer initiated investment related written complaint on September 3, 2021, where the customer sought compensatory damages founded on allegations of unsuitable investment recommendations by Giovacchino while he was employed by LPL Financial. According to the…

Gilberto Briseno (also known as Gilbert Briseno), of Boutte, Louisiana, a stockbroker formerly registered with LPL Financial LLC, is identified in a customer initiated investment related written complaint on June 4, 2021, in which the customer requested $13,000.00 in damages based upon accusations of losses caused by unsuitable trading of closed-end funds and real estate…

Robert Emmett Pitiger, of Norwich, Vermont, a stockbroker formerly registered with LPL Financial LLC, has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings of Pitiger altering documents and reusing customer signatures while Pitiger was employed by LPL Financial. Letter…

Beliveau Bays (also known as Beau Bays), of Plano, Texas, a stockbroker formerly registered with LPL Financial LLC, is identified in a customer initiated investment related written complaint on February 16, 2021, in which the customer requested compensatory damages based upon allegations that their signature had been forged on an account application when Bays was…

Amy Marjorie O’Brien (also known as Amy Marjorie Cash), of Fort Mill, South Carolina, a stockbroker formerly registered with LPL Financial LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that she failed to cooperate with FINRA when she was investigated for receiving an…

Scott Alan Kaufman, of Wyomissing, Pennsylvania, a stockbroker formerly registered with LPL Financial LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on findings that he failed to comply with FINRA’s investigation into accusations of his improper fixed income trading strategy while he was employed by…

Rhett Douglas Bedwell, of Rogers, Arizona, a stockbroker formerly registered with LPL Financial LLC, is the subject of a customer initiated investment related complaint which was settled for $19,848.26 in damages on September 23, 2021, based upon allegations of the misuse of the customer’s funds during the time that he was registered with LPL Financial…

Caroline Mohan (also known as Caroline Reyes), of West Palm Beach, Florida, a stockbroker formerly registered with LPL Financial LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that she failed to cooperate with a FINRA investigation into allegations of her private securities transactions…

Kenneth John Arellano, of Rochester, New York, a stockbroker formerly registered with LPL Financial LLC, is referenced in a customer initiated investment related written complaint which was resolved for $141,087.00 on April 11, 2020, based upon accusations of Arellano’s misrepresentation of information regarding structured notes and a fixed annuity in 2019 when he was employed…

John Lee Scott, of Phoenix, Arizona, a stockbroker formerly registered with LPL Financial LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that he failed to comply with the regulator during the time that he was under investigation for engaging in outside business activities…

Robert C. Fross, of The Villages, Florida, a stockbroker formerly registered with SII Investments Inc., is referenced in a customer initiated investment related FINRA securities arbitration claim which was settled for $14,999.00 in damages supported by allegations that the customer was placed into an unsuitable real estate investment trust by Fross during the time that…

Todd Anthony Esh of Shawnee Kansas a stockbroker formerly registered with LPL Financial LLC has been barred by Securities and Exchange Commission (SEC) from being a stockbroker or an investment adviser representative founded on accusations of Esh making omissions and misrepresentations to investors. In the Matter of Todd A. Esh Order Instituting Administrative Proceedings Case…

Mark Alan Haenny of Loveland Colorado a stockbroker formerly registered with First Allied Securities Inc. is referenced in a customer initiated investment related FINRA securities arbitration claim which was settled for $55,000.00 in damages based upon accusations including negligence and unsuitable recommendations by Haenny as it pertained to LPs and DPPs during the period that…

Ronald Leonard Whittingham (also known as Ron Whittingham) of Orland Park Illinois a stockbroker formerly registered with LPL Financial LLC has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that false information had been placed on documents by Whittingham…

Michael Miles Hartlett (also known as Mike Hartlett) of East Petersburg Pennsylvania a stockbroker formerly registered with LPL Financial LLC has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on findings that he engaged in unauthorized trading of a customer’s account when he was…

Jeffrey Guy LaBelle (also known as Jeff LaBelle) of Sarasota Florida a stockbroker formerly registered with LPL Financial LLC and First Allied Securities Inc. is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer requested $350,000.00 in damages based upon allegations that LaBelle breached a contract and breached a…

Eric Shea Hollifield of Dacula Georgia a stockbroker formerly registered with LPL Financial LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he did not cooperate with FINRA investigators during an investigation into his possible conversion of an elderly customer’s funds during the…

Samuel Izaguirre of Miami Lakes Florida a stockbroker currently registered with LPL Financial LLC is the subject of a customer initiated investment related FINRA securities arbitration claim which was resolved for $120,000.00 in damages supported by allegations of the customer being misled regarding details of alternative investments held in their account during the period that…

Joseph Don Malboeuf of Colchester Vermont a stockbroker currently registered with LPL Financial LLC is referenced in a customer initiated investment related complaint which was settled for $85,000.00 in damages on July 19, 2020 founded on accusations that the customer’s account was not properly allocated in mutual funds according to their instructions between October 1,…

Thomas Boley Hunt of Twin Falls Idaho a stockbroker currently registered with Wells Fargo Advisors is the subject of a customer initiated investment related written complaint which was resolved for $20,000.00 in damages on July 22, 2020 supported by allegations that Hunt’s transactions at Wells Fargo Advisors were not suitable for the customer. Hunt has…

Christopher Bryan Black (also known as Chris Bryan Black) of Statesboro Georgia a stockbroker formerly registered with LPL Financial LLC is the subject of a customer initiated investment related written complaint on May 21, 2021, where the customer sought $84,166.22 in damages based upon accusations that Black provided unsuitable recommendations to them concerning municipal bonds…

Courtney Michelle Kaplan (also known as Courtney Michelle Carlsen, Courtney Michelle Ingram, and Courtney Ingram Yarmesch) of Tampa Florida a stockbroker formerly registered with Wells Fargo Clearing Services has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on findings that she failed to comply with a FINRA…

Kerry Lee Hoffman of Mundelein Illinois a stockbroker formerly registered with LPL Financial LLC has been barred by Securities and Exchange Commission (SEC) from being a stockbroker or investment adviser representative and barred from associating with securities firms across the country according to an Order based on allegations of Hoffman violating securities laws relating to…

Donald Stephen Woods of Louisville Kentucky a stockbroker formerly registered with LPL Financial LLC is the subject of a customer initiated investment related written complaint on April 30, 2021 where the customer sought $69,000.00 in damages based upon accusations of Woods making unsuitable recommendations of business development companies and real estate securities when he was…

Joffre Salazar (also known as Jeff Salazar) of Staten Island New York a stockbroker formerly registered with LPL Financial LLC has been fined $5,000.00 and suspended for one year from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Salazar forged signatures of customers on documents to effect…

Michael Joseph Lancaster of Tampa Florida a stockbroker formerly registered with NFP Securities Inc. and LPL Financial LLC is referenced in a Financial Industry Regulatory Authority (FINRA) inquiry in which FINRA is reviewing a customer initiated investment related complaints alleging misrepresentation and the recommendation of unsuitable investments. Case No. 20210704636 (Mar. 22, 2021). Lancaster has…

James Thomas Booth of Norwalk Connecticut a stockbroker formerly registered with LPL Financial LLC is named in a Securities and Exchange Commission (SEC) lawsuit in which SEC obtained a judgment which restrains and enjoins Booth from further violating federal securities laws based upon findings of Booth defrauding investors. Case No. 3:19-cv-01535 (Feb. 19, 2021). SEC…

Jason C. LaBelle of Pittsfield Massachusetts a stockbroker formerly registered with LPL Financial LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on findings that he failed to comply with FINRA when he was under investigation for violating the terms of a 2020 disciplinary action against…

James Kenneth Couture of Worchester Massachusetts a former stockbroker of LPL Financial LLC and former investment adviser representative of Private Wealth Management Group has been charged by Securities and Exchange Commission (SEC) with taking part in a scheme to misappropriate $2,900,000.00 from investors. Civil Action No. 1:21-CV-10908 (D. Mass June 1, 2021). According to the…

John Edgar Simmons Jr. of Gulf Breeze Florida a stockbroker formerly registered with LPL Financial LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Simmons failed to cooperate with FINRA’s investigation which focused on whether he engaged in unapproved private securities transactions. Letter…

Jason Howell Poff of Houston Texas a stockbroker formerly registered with LPL Financial LLC has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Poff engaged in outside business activities that were neither disclosed to nor approved by LPL…

Matthew O. Clason of Glastonbury Connecticut a stockbroker formerly registered with LPL Financial LLC is the subject of a customer initiated investment related FINRA securities arbitration claim which settled for $1,000,000.00 in damages on February 22, 2021 based upon accusations that the customer’s assets had been converted by Clason between 2015 and 2020 while Clason…

Rhett Douglas Bedwell of Rogers Arizona a stockbroker formerly registered with LPL Financial LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he failed to comply with the regulator when he was being investigated for using forged documentation to transition a customer’s assets…

Bradley Allen Goodbred of Roselle Illinois a stockbroker formerly registered with LPL Financial LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that he neglected to comply with a FINRA investigation into accusations of his outside business activities during the time that he was…

Kevin Charles Fretz of South Windsor Connecticut a stockbroker formerly registered with LPL Financial LLC is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer sought compensatory damages founded on accusations of unsuitable real estate investment trust recommendations by Fretz during the time that he was associated with…

Maryanne Virginia Bessler of Lynbrook New York a stockbroker currently registered with LPL Financial LLC is the subject of a customer initiated investment related FINRA securities arbitration claim where the customer requested $158,086.56 in damages founded on allegations that the customer had been advised by Bessler to invest in alternative investments and annuities when those…

Arthur Obermeier (also known as Art Obermeier) of Boulder Colorado a stockbroker formerly registered with LPL Financial has been fined $5,000.00 and suspended for 60 days from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Obermeier executed unauthorized trades in the accounts of LPL Financial customers. Letter…

Christopher Bryan Black of Statesboro Georgia a stockbroker formerly registered with LPL Financial has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he did not comply with FINRA Department of Enforcement during its investigation into loans that Black possibly received from a customer of…

Jason Howell Poff of Houston Texas a former stockbroker and investment adviser representative of LPL Financial LLC has been charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement with engaging in outside business activities that were not approved by the securities broker dealer. Department of Enforcement v. Jason Howell Poff Disciplinary Proceeding No. 2018058501502…

Clifton Hideki Roberts (also known as Cliff H. Roberts and as Clifton Sato Roberts) of Houston Texas a stockbroker formerly registered with LPL Financial LLC has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Roberts engaged in undisclosed outside business activities while associated with…

James Michael Rapisarda of Scottsdale Arizona a stockbroker formerly registered with LPL Financial LLC has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on findings that Rapisarda engaged in prohibited securities transactions during the period in which he was associated with LPL Financial. Letter…

Kerry Lee Hoffman of Chicago Illinois a stockbroker formerly associated with LPL Financial LLC has been referenced in a customer initiated investment related arbitration claim in which the customer requested $100,000.00 in damages supported by allegations that the customer had been advised by Hoffman to invest in unregistered securities during the period in which the…

Kevin Marshall McCallum of Birmingham Alabama a stockbroker formerly associated with LPL Financial LLC has been referenced in a customer initiated investment related arbitration claim in which the customer requested damages estimated to exceed $5,000.00 supported by allegations that unauthorized transactions were facilitated in the customer’s account during the period in which McCallum was employed…

Kevin Charles Fretz of South Windsor Connecticut a stockbroker formerly registered with LPL Financial LLC is the subject of a customer initiated investment related written complaint on March 2, 2020 where the customer sought $66,000.00 in damages based upon accusations that transactions were unsuitable for the customer and that misrepresentations were made by Fretz concerning…

Joe Percy Medrano of Golden Colorado a stockbroker formerly registered with LPL Financial LLC and Greenstar Advisors LLC is the subject of a Colorado Division of Securities Consent Licensing Order on January 2, 2020 in which he was placed on heightened supervision for three years. Medrano has also been ordered to cease and desist violating…

Cory Ryan Burnell of Valley Springs Colorado a stockbroker formerly employed by LPL Financial LLC and Blueprint Wealth Partners LLC has been ordered by California Department of Business Oversight to cease and desist violating securities laws or regulations and has been suspended for twelve months from engaging in investment advisory business in the State of…

James Thomas Booth of Norwalk Connecticut a stockbroker employed by Invest Financial Corporation and LPL Financial LLC is the subject of an Order to Cease and Desist by the Banking Commissioner of the State of Connecticut based upon allegations that Booth engaged in fraudulent activities and had misappropriated funds belonging to customers of Invest Financial…

Jordan John Boyle of Saratoga Springs Utah a stockbroker currently registered with LPL Financial is the subject of a customer initiated investment related arbitration claim in which the customer requested $50,000.00 in damages based upon allegations that the customer had been poorly advised as it pertained to real estate securities sold by Boyle between 2014…

Scott Douglas Williams of Franklin Tennessee a stockbroker formerly employed by LPL Financial has been identified in a customer initiated investment related arbitration claim which has been resolved for $61,050.00 in damages founded on accusations that the customer’s account had been churned and that unsuitable penny stocks and equities were traded in the customer’s LPL…

Sonya D. Camarco (also known as Sonia D. Fatchett and as Sonya D. Fatchett-Camarco) of Colorado Springs Colorado a stockbroker formerly employed by LPL Financial LLC has been identified in a customer initiated investment related arbitration claim which has been resolved for $4,200,000.00 in damages founded on accusations that the customer’s funds were misappropriated or…

Wesley Justin Foltz of Alexandria Louisiana a stockbroker formerly associated with Prospera Financial Services Inc. and LPL Financial LLC has been referenced in a customer initiated investment related complaint on February 15, 2019 in which the customer requested $50,000.00 in damages supported by allegations that direct investments including a real estate investment trust sold by…

Marc Salvatore Pico of Fort Lee New Jersey a stockbroker currently registered with LPL Financial LLC has been barred by Financial Industry Regulatory Authority (FINRA) from associating with any FINRA member in any capacity based upon allegations that the stockbroker neglected to respond to the regulator’s request for information about his activities. Case No. 2018059327101…

Jason C. Labelle of Pittsfield Massachusetts a stockbroker formerly registered with LPL Financial LLC has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that the stockbroker engaged in an outside business activity without disclosing it to LPL Financial. Letter of…

Graham Charles Green of San Francisco California a stockbroker currently registered with LPL Financial LLC is the subject of a customer initiated investment related written complaint on January 18, 2018 where the customer sought damages estimated to exceed $5,000.00 founded on accusations that investment recommendations failed to be suitable and the customer sustained losses on…

Michael Radford Severance of Edina Minnesota a stockbroker formerly employed by LPL Financial LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Severance failed to cooperate with a FINRA investigation into accusations of him engaging in undisclosed outside business activities. Letter of Acceptance…

Kerry Lee Hoffman of Mundelein Illinois a stockbroker formerly registered with LPL Financial LLC has been charged by Securities and Exchange Commission (SEC) in a Complaint which alleged that Hoffman engaged in securities fraud through his offer and sale of unregistered GT Media Inc. securities. United States Securities and Exchange Commission v. Kerry L. Hoffman…

Maryanne Virginia Bessler of Lynbrook New York a stockbroker currently employed by LPL Financial LLC is the subject of a customer initiated investment related written complaint on April 24, 2019 where the customer requested damages estimated to exceed $5,000.00 based upon accusations that investment recommendations made to the customer were not suitable and commissions assessed…

John Henry Geary of Mount Laurel New Jersey a stockbroker formerly registered with LPL Financial LLC is referenced in a Financial Industry Regulatory Authority (FINRA) investigation dated August 7, 2019 into whether Geary executed unauthorized trades in a customer’s account. According to FINRA Public Disclosure, Geary effected the sale of stock from a customer’s investment…

Louis Mark Miller of Jericho New York a stockbroker formerly registered with LPL Financial LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings of Miller having failed to comply with FINRA personnel during the period in which he was investigated for effecting discretionary trades…

Jeffrey Lawrence Vasiloff of Vermilion Ohio a stockbroker formerly employed by LPL Financial LLC has been fined $2,500.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that trades were executed by Vasiloff on a discretionary basis and without the stockbroker receiving written permission from customers…

Michael Alexander Hanson of La Mirada California a stockbroker formerly employed by LPL Financial LLC is referenced in a customer initiated investment related arbitration claim which was resolved for $400,000.00 in damages supported by accusations that the customer had been placed into leveraged exchange traded funds which failed to align with the customer’s objectives for…

Joseph Alan Likens of Des Peres Missouri a stockbroker employed by LPL Financial LLC has been barred from being a stockbroker or an investment adviser representative in the State of Missouri according to a Consent Order issued by the State of Missouri Office of Secretary of State containing findings that Likens engaged in unethical and…

Michael Scott Lincoln of San Diego California a stockbroker formerly employed by LPL Financial LLC is referenced in a customer initiated investment related arbitration claim which was settled for $275,000.00 in damages founded on allegations that (1) trades placed in the customer’s investment account were unsuitable for the customer (2) the customer’s investment affairs were…

James “Jim” Booth of LPL Financial and Booth Financial in Norwalk Connecticut has been named in a customer initiated, investment related claims filed before the Financial Industry Regulatory Authority that Booth stole or misappropriated funds from his customers. According to FINRA Public Disclosure, Booth appears to have been terminated by LPL on June 26, 2019….

Jason N. Anderson of Beaumont Texas a stockbroker formerly registered with LPL Financial LLC has been suspended for three months from being an investment adviser representative in the State of Texas according to a Disciplinary Order issued by the Texas State Securities Board Order containing findings that Andersons provided investors with investment recommendations that were…

Jason Reed Nelson of Tremonton Utah a stockbroker formerly registered with LPL Financial LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon Nelson’s consent to findings that Nelson hindered a FINRA investigation concerning Nelson’s alleged misrepresentation of LPL Financial LLC customers’ financial information relating to…

James Edward Bashaw of Houston Texas a stockbroker formerly employed by LPL Financial LLC has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Bashaw engaged in impermissible customer loan arrangements while associated with LPL Financial. Letter of Acceptance Waiver and Consent No….

Brian Lawrence Stephan of Xenia Ohio a stockbroker formerly registered with LPL Financial LLC has been fined $10,000.00 and suspended for eight months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to an Order Accepting Offer of Settlement based on findings that (1) Stephan gave the customer unsuitanble investment…

Jordan John Boyle of Saratoga Springs Utah a stockbroker formerly employed by LPL Financial LLC is the subject of a customer initiated investment related written complaint on January 23, 2019 in which the customer requested $10,000.00 in damages founded on accusations that between September 10, 2014 and January 18, 2019, the customer was provided unsuitable…

Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that LPL Financial LLC, a FINRA member brokerage firm headquartered in Boston, Massachusetts, terminated broker Joe Percy Medrano for allegedly engaging in discretionary trading, and Jason Reed Nelson based on accusations of misrepresentation. Joe Percy Medrano Terminated For Exercising Discretion In Customer Accounts Joe Percy Medrano of…

David Philip Antypas of Brentwood Tennessee a stockbroker formerly registered with LPL Financial LLC is the subject of a Tennessee Department of Commerce and Insurance Securities Division disciplinary action where the regulator is seeking the denial of Antypas’ securities registration based upon accusations that (1) during the time Antypas was associated with LPL Financial LLC…

William Frank Welsh of Williamsville New York a stockbroker currently employed by LPL Financial LLC is the subject of a customer initiated investment related written complaint on November 14, 2016 where the customer requested damages estimated to exceed $5,000.00 founded on accusations that Welsh was placed into an indexed annuity that was not suitable for…

Gregory Allen Zale of Mesa Arizona a stockbroker formerly employed by LPL Financial LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by allegations that Zale failed to provide FINRA with information requested of him. Case No. 2016050228801 (Mar. 17, 2017). According to FINRA Public Disclosure,…

Robert James Wodicker of Arnold Missouri a stockbroker formerly registered with LPL Financial LLC has been fined $80,000.00 and barred from registering as an investment adviser representative or broker-dealer agent in Missouri according to a Final Order to Cease and Desist and Order Awarding Civil Penalties Cost and Other Administrative Relief based on findings that…

Marie P. Goforth of San Antonio Texas a stockbroker formerly employed by LPL Financial LLC has been suspended by the Texas State Securities Commissioner from engaging in securities business in the State of Texas according to findings that Goforth maintained blank forms signed by customers and reused customer signatures to effect securities transactions. Acceptance Waiver…

Brenda Kay Rafferty (also known as Brenda O’Neal) of San Diego California a stockbroker formerly registered with LPL Financial LLC is referenced in a customer initiated investment related arbitration claim where the customer sought $40,000.00 in damages supported by accusations against Rafferty of negligence pertaining to the distribution of the customer’s individual retirement account. Financial…

Brian Patrick Kelly of Canton Ohio a stockbroker formerly employed by LPL Financial LLC has been ordered by the State of Ohio Division of Securities to cease and desist engaging in conduct violative of Ohio Securities Act based upon consenting to findings that Kelly traded in a customer’s account without authorization. In the Matter of:…

Thomas Wayne Chandler of Fresno California a stockbroker formerly employed by LPL Financial LLC has been discharged by the firm on January 16, 2018 supported by accusations that Chandler placed transactions in a customer’s investment account that were not authorized by the customer. Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that Chandler has been…

Kathryn Renee Charpie (also known as Kathryn Renee Stevens) of Overland Park Kansas a stockbroker registered with LPL Financial LLC has been discharged on February 6, 2018 based upon accusations that Charpie entered into an unauthorized borrowing arrangement in violation of LPL Financial policy. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that on December…

Donald Stephen Woods of Louisville Kentucky a stockbroker formerly employed by LPL Financial LLC is referenced in a customer initiated investment related written complaint which settled on March 1, 2017 for $10,722.00 supported by accusations that misrepresentations had been made to the customer regarding structured products investments. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals…

Nicole Danielle Jervis of Warren Ohio a stockbroker currently registered with LPL Financial LLC is the subject of a customer initiated investment related written complaint on March 14, 2018 in which the customer sought $10,322.00 in damages supported by allegations that mutual funds had been liquidated from the customer’s investment account without the customer’s authorization…

Joshua Lee Bradley of Scranton Pennsylvania is a former stockbroker of LPL Financial LLC who is the subject of a customer initiated investment related complaint which settled on September 21 2016 for twenty-three thousand one hundred fourteen dollars in damages founded on allegations that Bradley effected the purchase of a variable annuity that was not…

Laura Ortega Shean of Medford Oregon is a stockbroker formerly associated with LPL Financial LLC who is the subject of an Oregon Division of Financial Regulation Notice Order stating that sanctions have been sought against her by the Division based upon accusations that she misappropriated customer funds and effected transactions that were not authorized. Case…

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…

Brent Van Lott of Orem Utah is a stockbroker formerly registered with LPL Financial LLC who has been charged by Financial Industry Regulatory Authority (FINRA) in a Complaint alleging that Lott falsified documents relating to customers’ securities transactions. Department of Enforcement v. Brent Lott Disciplinary Proceeding No. 2013038124102 (Jan. 25 2018). According to the Complaint,…

Mark B. Degner of Fall River Massachusetts is a former stockbroker of LPL Financial that has been fined seven thousand five hundred dollars and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he made misrepresentations to customers concerning certificate of deposits. Letter of…

Michael Quiles III of Long Island City New York is a stockbroker formerly registered with LPL Financial LLC who has been charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that Quiles failed to cooperate in a FINRA investigation into accusations of his unapproved customer loan arrangement. Department of Enforcement…

Kevin Douglas Houser, of Allentown, Pennsylvania, a stockbroker formerly employed with LPL Financial LLC, is the subject of a customer initiated investment related arbitration claim, in which the customer requested $250,000.00 in damages based upon allegations that Houser made misrepresentations to the customer concerning annuities, and executed variable annuity transactions that were not suitable for…

Pedro Omar Diaz, of Coconut Creek, Florida, a stockbroker employed with LPL Financial LLC, has been fired on November 29, 2017, founded on accusations that he violated LPL Financial’s policy by engaging in the short-term trading of mutual fund trades in customer accounts. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Diaz has been…

James Ernest Joly, of East Greenwich, Rhode Island, a stockbroker formerly employed with LPL Financial, LLC, is the subject of a customer initiated investment related written complaint on September 22, 2017, in which the customer sought damages estimated at more than $5,000.00 supported by allegations that unauthorized and unsuitable non-traded real estate investment trust and…

Melvin Elwood Case of Jacksonville, Florida, a stockbroker registered with LPL Financial LLC, was fired on May 2, 2017, based upon allegations that he had exploited an elderly individual after converting that individual’s funds for Case’s personal gain. Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that Case is referenced in five customer initiated investment…

John William Bernard of Shell Beach, California, a stockbroker registered with LPL Financial LLC, has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he placed trades in customer accounts without authorization. Letter of Acceptance, Waiver and Consent, No. 2015044696201 (Dec….

Michael Scott Lance, of San Rafael, California, a stockbroker registered with Wells Fargo Advisors, is the subject of a customer initiated investment related written complaint on October 26, 2016, in which the customer sought more than $5,000.00 in damages based upon accusations that the customer was never informed about tax consequences pertaining to individual retirement…

JoeAnn M. Walker, of Brockton, Massachusetts, a stockbroker formerly registered with Next Financial Group, Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity by consenting to findings that she obstructed a FINRA investigation into allegations that she effected unsuitable annuity sales. Letter of Acceptance, Waiver and Consent,…

Page 1 of 31 2 3