Former LPL Financial advisor Tracy M. Meade agreed to pay a $5,000 fine and serve a 2-month suspension from association with any FINRA member firm in all capacities.
Tagged with "LPL"
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FINRA Suspends Former LPL Financial Advisor for Outside Business Activity
Posted on October 8th, 2020 at 2:46 PM
LPL Agrees to Pay Victims of Alleged Scam by Former Advisor
Posted on August 12th, 2020 at 1:29 PM
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.
LPL Financial Purchases Independent Broker-Dealer National Planning Holdings
Posted on October 5th, 2017 at 11:30 AM
LPL Financial LLC, a wholly owned subsidiary of LPL Financial Holdings Inc., has acquired the independent broker-dealer network of National Planning Holdings, Inc. ("NPH") for an initial purchase price of $325 million.
LPL Implements New Policy to Put Pressure on Affiliates to Recruit Advisers to its Corporate Registered Investment Adviser
Posted on September 27th, 2017 at 10:12 AM
LPL Financial has announced in a memo that it is instituting a new policy which will affect advisers who want to use outside RIAs instead of LPL’s corporate RIA.
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