Tag Archives: Paul Edward Dorion

FINRA Bars LPL Financial Broker In Investigation

January 06, 2019  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Paul Edward Dorion of Killington Vermont 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 allegations that Dorion failed to respond to FINRA’s inquiry. FINRA Case No. 2015047608601 (Oct. 31, 2016). According to FINRA Public Disclosure, a request […]

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