Brian Lawrence Stephan of Xenia Ohio a stockbroker formerly employed by LPL Financial LLC and Commonwealth Financial Network has been charged by Financial Industry Regulatory Authority (FINRA) in a Complaint alleging that Stephan engaged in unsuitable mutual fund trading and the mismarking of transactions and switch forms. Department of Enforcement v. Brian Lawrence Stephan Disciplinary […]
Read More »
Tag Archives: Optimum Large Cap Value Fund
FINRA Charges LPL With Overcharging Investors
August 25, 2018 | Posted by : Guiliano Law Group | Investment and Regulatory News, Mutual Fund Fraud | 0 Comments