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LPL Financial LLC Stockbroker Suspended For Unsuitable Trading

February 11, 2017  |   Posted by :   |   Churning, Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Steve Dale Heath, of Newport News, Virginia, a stockbroker formerly registered with LPL Financial, LLC, has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he effected trades in a customer’s account on an unsuitable and unauthorized basis. Letter of […]

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