LPL Financial

Nov 18th, 2016

LPL Supervisor Michael S. Lincoln’s Head in Ground while San Diego Financial Advisor Solicited Investments in Speculative Hawaii Real Estate from LPL Customers

Mr. Michael Lincoln is probably regretting his decision to avoid reporting the outside business activity (OBA) of a financial advisor he was supposed to be supervising, […]
Jun 18th, 2015

LPL Financial Advisor In Alhambra, California Borrows $19,700 From Investor And Then Lies To Firm

Emiliano Rocha Jr., formerly employed with LPL Financial and Invest Financial Corporation, has been suspended for seven months and fined $10,000. Rocha borrowed $19,700 from an […]
Dec 6th, 2014

Seattle Stockbroker Suspended for Secretly Pushing Clients into Risky Pre-IPO Investments

Benjamin Doyle Maleche of LPL Financial was recently fined and suspended for failing to tell his member firm—JP Morgan at the time—that he was recommending his […]
Nov 3rd, 2014

Carlsbad Stockbroker Suspended for Tampering with Annuity Applications

Tamara Lynne Collins of LPL Financial was recently fined and suspended for tampering with annuity documents. Specifically, she added her client’s initials to documents, and changed […]