Tagged with "New Hampshire"

LPL Agrees to Pay Victims of Alleged Scam by Former Advisor

Posted on August 12th, 2020 at 1:29 PM
LPL Agrees to Pay Victims of Alleged Scam by Former Advisor

In a previous blog post, we discussed an alleged scam perpetuated by formed LPL Financial advisor, Dain F. Stokes. In the scheme, Stokes allegedly solicited money for an African charity project with ties to Taylor Swift. Now, LPL has agreed to compensate victims of Stokes’ alleged scam.

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LPL Fined $3.6 million for Nontraded REIT Sales

Posted on April 16th, 2015 at 10:57 AM
LPL Fined $3.6 million for Nontraded REIT Sales

New Hampshire securities regulators fined LPL Financial  $3.6 million for allegedly selling unsuitable real estate investments to elderly clients.

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