Tag Archives: Robert Scott Davis

FINRA Sanctions LPL Stockbroker For Unauthorized Trading

Robert Scott Davis (also known as Robert Scott David) a stockbroker formerly employed by LPL Financial LLC has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that (1) Davis engaged in unauthorized trades in the accounts of LPL Financial customers and (2) […]

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LPL Financial Broker Fired For Unauthorized Trading

October 22, 2018  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Robert Scott Davis of Richmond Indiana a stockbroker formerly registered with LPL Financial LLC has been discharged by LPL Financial on August 16, 2017 supported by accusations that Davis violated the firm’s policy by placing trades in LPL Financial customer accounts on a discretionary basis. Financial Industry Regulatory Authority (FINRA) Public Disclosure also confirms that […]

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