Tag Archives: Scott Mason

FINRA Sanctions LPL Stockbroker For Obstructing Investigation

June 24, 2020  |   Posted by :   |   Customer Loans   |   Comments Off on FINRA Sanctions LPL Stockbroker For Obstructing Investigation

Scott Mason of Lakewood Colorado a stockbroker formerly employed by LPL Financial LLC has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on accusations that Mason failed to cooperate with the regulator’s request for his information. Case No. 2018058924501 (Apr. 20, 2020). Mason will be automatically barred […]

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LPL Stockbroker Sanctioned By FINRA For Customer Loans

July 22, 2019  |   Posted by :   |   Customer Loans, Investment and Regulatory News   |   0 Comments

Scott Mason of Lakewood Colorado a stockbroker formerly registered with LPL Financial LLC has been fined $5,000.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that a customer’s funds had been borrowed by Mason in violation of the policies of LPL Financial […]

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