Tag Archives: Thomas Wayne Chandler

Kovack Securities Terminates Stockbroker In Unauthorized Trading Investigation

November 30, 2020  |   Posted by :   |   FINRA Securities Arbitration, Investment and Regulatory News, Unauthorized Trading   |   Comments Off on Kovack Securities Terminates Stockbroker In Unauthorized Trading Investigation

Thomas Wayne Chandler of Fort Lauderdale Florida a stockbroker formerly registered with Kovack Securities Inc. has been terminated from employment on April 3, 2020 founded on allegations that Chandler neglected to abide by procedures and policies of the securities broker dealer in reference to customer accounts. Chandler was associated with Kovack Securities between March 25, […]

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LPL Financial Broker Fired For Unauthorized Trading

June 25, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Thomas Wayne Chandler of Fresno California a stockbroker formerly employed by LPL Financial LLC has been discharged by the firm on January 16, 2018 supported by accusations that Chandler placed transactions in a customer’s investment account that were not authorized by the customer. Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that Chandler has been […]

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