lpl financial

LPL Advisor Eric Hollifield Barred by FINRA

LPL Advisor Eric Hollifield Barred by FINRA! – Investor Investigation

Eric Hollifield has been discharged by his brokerage firm, LPL Financial, allegedly for his failure to disclose his outside business activities. This was in August 2021. Hollifield has also been barred by the Financial Industry Regulatory Authority (FINRA). This is on account of the alleged conversion of the funds of an elderly client and emanates …

LPL Advisor Eric Hollifield Barred by FINRA! – Investor Investigation Read More »

William Wimberly (Jackson, MS) SUSPENDED By FINRA

William Wimberly, LPL Financial, (Jackson, MS) SUSPENDED By FINRA

William A. Wimberly was registered with LPL Financial, LLC (November 2008 to August 2018) in Jackson, MS.  According to FINRA BrokerCheck (as of June 2020), Mr. Wimberly has been suspended from acting as a broker and is not currently registered as a broker, and his Brokercheck report reflects the following disclosures: In May 1998, a customer dispute …

William Wimberly, LPL Financial, (Jackson, MS) SUSPENDED By FINRA Read More »

Carlton & Associates | Mark Lamkin | LPL Financial- Investigation For Investor Fraud

Mark Lamkin (Carlton & Associates) Suspended – Investor Notice

Mark Lamkin was registered LPL Financial LLC (2001-2018) and with Calton & Associates, Inc. (2018 to present) in Louisville, KY.  According to the Financial Regulatory Authority (FINRA) BrokerCheck (as of May 2020), Mr. Lamkin has been the subject of 7 disclosures and is currently suspended by FINRA from acting as a financial advisor. In 2000, …

Mark Lamkin (Carlton & Associates) Suspended – Investor Notice Read More »

LPL Financial Complaints Investigation: Jim Booth Barred

The Financial Industry Regulatory Authority Inc. (FINRA) has barred Jim Booth from LPL Financial who cheated clients out of more than $1 million for a period of five years.  Haselkorn & Thibaut, investment fraud lawyers, have begun a formal investigation into Mr. Booth and are following several other LPL Financial complaints. Booth was a former …

LPL Financial Complaints Investigation: Jim Booth Barred Read More »

Scroll to Top