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Tagged with "lpl advisor"

FINRA Files Complaint Against Former LPL Advisor

Posted on June 16th, 2020 at 3:53 PM
FINRA Files Complaint Against Former LPL Advisor

The Financial Industry Regulatory Authority (“FINRA”) filed a Complaint against Adam James Makkai alleging that he shared commissions with an unregistered former coworker.  FINRA Enforcement alleged that Makkai, a former LPL Financial advisor, shared commissions with a former LPL advisor who had been terminated.

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DOJ Charged Former LPL Advisor with Defrauding Clients in $5 Million Ponzi Scheme

Posted on October 7th, 2019 at 3:22 PM
DOJ Charged Former LPL Advisor with Defrauding Clients in $5 Million Ponzi Scheme

The Department of Justice (“DOJ”) has charged former broker James T. Booth for defrauding his clients of approximately $5 million over the course of a yearlong Ponzi scheme.

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