Tag Archives: Mark Thomas Lamkin

FINRA Sanctions LPL Stockbroker Over Promissory Notes

April 08, 2020  |   Posted by :   |   Customer Loans   |   Comments Off on FINRA Sanctions LPL Stockbroker Over Promissory Notes

Mark Thomas Lamkin of Louisville Kentucky a stockbroker formerly registered with LPL Financial LLC has been fined $7,500.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he borrowed funds from a customer of LPL Financial without authorization and had […]

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LPL Stockbroker Investigated For Unauthorized Trading

Mark Thomas Lamkin of Louisville Kentucky a stockbroker formerly registered with LPL Financial LLC is referenced in a disciplinary action brought by the Commonwealth of Kentucky’s Department of Financial Institutions in which the regulator is seeking revocation of Lamkin’s stockbroker or advisory licensure in the state founded on allegations of Lamkin engaging in unauthorized activities […]

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