Tag Archives: Thomas Edward Andrews

SEC Bars LPL Stockbroker For Fraud

June 12, 2018  |   Posted by :   |   Investment and Regulatory News, Ponzi Schemes   |   0 Comments

Thomas Edward Andrews of Salt Lake City Utah a former LPL Financial LLC registered representative has been barred by Securities and Exchange Commission (SEC) in all capacities according to an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 containing findings that Andrews committed securities fraud. In the Matter […]

Read More »

LPL Financial LLC Named In Customer Churning Claim

February 01, 2017  |   Posted by :   |   Investment and Regulatory News, Variable Annuites   |   0 Comments

Thomas Edward Andrews, of Salt Lake City, Utah, a barred stockbroker formerly registered with LPL Financial LLC, has been named in a customer initiated investment related written complaint on October 20, 2016, in which forty-four customers have collectively requested $10,504,799.00 in damages based upon allegations that Andrews churned the customers’ accounts, negligently managed the customers’ […]

Read More »