Tag Archives: NFP Securities Inc.

LPL Financial Stockbroker Investigated For Sale Of Unsuitable Investments

September 03, 2021  |   Posted by :   |   Investment and Regulatory News, Unsuitable Investment Recommendations   |   Comments Off on LPL Financial Stockbroker Investigated For Sale Of Unsuitable Investments

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 […]

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NFP Financial Broker Suspended For Outside Business Activities

February 24, 2016  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News   |   0 Comments

Karen Hajek, of Saint Petersburg, Florida, a stockbroker with Cetera Financial Specialists, LLC, was recently fined $15,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after Hajek consented to findings that she engaged in multiple undisclosed outside business activities. Letter of Acceptance, Waiver and Consent, […]

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