Tag Archives: Optimum Large Cap Value Fund

FINRA Charges LPL With Overcharging Investors

August 25, 2018  |   Posted by :   |   Investment and Regulatory News, Mutual Fund Fraud   |   0 Comments

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 […]

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