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.

Read More »

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.

Read More »

TESTIMONIALS

Previous
Next

You were most helpful with my FINRA deposition. You are a good lawyer and a good person.

Dan B.

LATEST NEWS AND ARTICLES

April 23, 2024
Surge Predicted in Regulation Best Interest Cases

According to a recent analysis, Reg BI-related actions quickly have ascended to the top five issues for FINRA, with fines totaling $6 million in 2023.

April 22, 2024
FINRA Fines Independent Broker-Dealers Over Cybersecurity Lapses

The Financial Industry Regulatory Authority (FINRA) has imposed fines and censured independent broker-dealers Osaic Wealth and Securities America for cybersecurity deficiencies that led to hackers accessing the private information of more than 32,000 customers.

April 19, 2024
WealthFeed Raises Funds for AI-Driven Lead Generation Tool

WealthFeed leverages proprietary AI technology to collect nine real-time financial data points, including business sales, capital raises, inheritances, and job changes.