National investor fraud law firm, KlaymanToskes, has commenced an investigation (“Lee Nordstrom Vorphal Wing Securities Investigation”) into former Vorphal Wing Securities broker Lee Victor Nordstrom...
National investor fraud law firm, KlaymanToskes, has commenced an investigation (“Eric Hollifield Hamilton Investment Counsel Investigation”) into former Hamilton Investment Counsel, LLC investment advisor, Eric...
National investor fraud law firm, KlaymanToskes, has commenced an investigation in light of recent criminal charges concerning Paul R. McGonigle (“McGonigle”), who worked at LPL...
On October 18, 2016, the Securities Exchange Commission (SEC) barred LPL Financial advisor, Paul Lebel for churning and excessively trading mutual funds in customer accounts...
Financial Industry Regulatory Authority (FINRA) sanctioned LPL Financial, LLC with fines of $10 million for, “broad supervisory failures in a number of key areas, including...
Our law firm is investigating LPL Financial (“LPL”) in connection with the supervision of Marc Halan Baldinger (“Baldinger”), CRD No. 1942349. Baldinger was based out...
The following story appeared in InvestmentNews on October 13, 2014: Star Houston branch manager allegedly engaged in transactions without firm approval, according to his CRD...
