Tag Archives: Sanders Lane Spangler

LPL Spangler Spanked For Hindering Investigation

April 05, 2018  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Sanders Lane Spangler of San Antonio Texas is a stockbroker formerly registered with LPL Financial LLC who has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to cooperate in a FINRA investigation into accusations of his unauthorized trading in customer […]

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LPL Financial Sued For Unauthorized Trading

September 22, 2017  |   Posted by :   |   Unauthorized Trading, Unsuitable Investment Recommendations   |   0 Comments

Sanders Lane Spangler, of San Antonio, Texas, a stockbroker formerly registered with LPL Financial LLC, has been identified in a customer initiated investment related arbitration on June 14, 2017, in which the customer requested $500,000.00 in damages based upon allegations that Spangler effected unauthorized and unsuitable equity transactions in the customer’s account. Financial Industry Regulatory […]

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