Tag Archives: Timothy Aaron Engelmann

LPL Stockbroker Sanctioned For Customer Loan

December 01, 2020  |   Posted by :   |   Customer Loans, FINRA Securities Arbitration, Investment and Regulatory News   |   Comments Off on LPL Stockbroker Sanctioned For Customer Loan

Timothy Aaron Engelmann of Albuquerque New Mexico 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 founded on findings that Engelmann borrowed funds from customers without authorization. Letter of Acceptance Waiver and Consent No. […]

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