lpl financial

Lone Star National Bank

Investors Awarded $2.5 Million From Lone Star National Bank (LPL)

Two investors were awarded $2.57 million from Lone Star National Bank, an affiliate of LPL Financial. Quite unusually, this is the second time these claimants have been successful in receiving an award for damages against LPL. Lightning never strikes twice. LPL Financial might disagree. Juan Angel Ibarra Rodriguez and Myriam Rodriguez Gonzalez, who sought damages […]

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LPL Advisor Pence Wealth

Death Penalty a Possibility for LPL Affiliated Pence Wealth Mgt. Employee Facing a Murder Charge

26 years old Ramy Fahim, who worked for the Newport Beach, California, based Pence Wealth Management, an affiliate of LPL Financial, has been charged with murder. He is stated to have murdered his Pence colleague Griffin Cuomo and Jonathan Bahm, a roommate of Cuomo, both 23 years old, inside an apartment in Anaheim, California, according

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Sanders Spangler (LPL Financial) Barred For Life By FINRA!

Sanders Spangler (LPL Financial) Barred For Life By FINRA!

Sanders Spangler, a former stockbroker who was registered with LPL Financial since October 2005, discloses an employment termination, 6 prior customer disputes as well as a regulatory matter on his BrokerCheck record. LPL Financial discharged him in February 2017 alleging: “Exercising discretionary power in the customer account(s) in violation of firm policy” on his BrokerCheck

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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

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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

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