Eileen Cure Allegedly Recommended Unsuitable Investments
Eileen Cure (CRD# 2224269), formerly a broker registered with LPL Financial and Avantax (previously H.D. Vest), recommended unsuitable investments, according to customer disputes. MDF Law is investigating the former Nederland, Texas-based financial professional for similar conduct. If you have concerns about your accounts, call our law firm for a free consultation. To learn more about […]
Robert Earls Allegedly Misappropriated Client Funds
Robert Earls (CRD# 1369915), formerly a broker registered with LPL Financial, misappropriated customer funds, according to recent investor disputes. MDF Law is investigating the former Roanoke, Virginia financial professional for similar conduct. Call us for a free consultation if you have concerns about your accounts. To learn more about the allegations against Mr. Earls, continue […]
Sean Mostero Allegedly Had “Inappropriate Relationship” with Client
Sean Mostero (CRD# 6447158), formerly a broker registered with LPL Financial, allegedly engaged in an inappropriate relationship with a client, according to an investor dispute. MDF Law is investigating the former Torrance, California financial professional for similar conduct. If you have concerns about investments you made with him, contact us for a free consultation. To […]
Rich Ceffalio Allegedly Recommended Unsuitable Investments
Rich Ceffalio (CRD# 2619565), formerly a broker registered with LPL Financial, recommended unsuitable investments, according to a recent investor dispute. MDF Law is currently investigating the Arlington Heights, Virginia financial professional for similar conduct. If you have concerns about investments in your account, call us for a free consultation today. More information about the allegations […]
Tamara Glenn Embroiled in Investor Disputes
Tamara Glenn (CRD# 4324857), formerly a broker registered with LPL Financial, is involved in investor disputes alleging unsuitable recommendations. MDF Law is investigating the former East Lansing, Michigan financial professional for similar conduct. If you have concerns about your accounts, contact us for a free consultation. Continue reading to learn more about the allegations against […]
Ed Baroncini: Excel Wealth Adviser Involved in ETF Disputes
Ed Baroncini (CRD# 3043354), a broker registered with LPL Financial, is involved in investor disputes alleging that supervisory failures caused more than $1 million in damages. MDF Law is investigating the Manchester, Connecticut financial professional and his advisory firm, Excel Wealth Management, for similar conduct. We urge investors with concerns to contact us immediately. More […]
Former LPL Broker Deborah Anderson Involved in Nine Disputes
Deborah Anderson (CRD# 1795405), formerly a broker registered with LPL Financial, is embroiled in nine investor disputes, according to her BrokerCheck profile. This Financial Industry Regulatory Authority (FINRA) record, accessed on July 31, 2023, additionally describes her termination from LPL Financial over alleged rule violations. More information about the allegations against the former San Diego […]
Azmi Sharif Terminated by LPL Over Outside Business Activities
On December 20, 2022, LPL Financial announced it terminated Azmi Sharif (CRD # 2343413). Mr. Sharif previously worked for LPL Financial in Elmhurst, Illinois. He is also affiliated with Sharif Wealth Strategies, Inc. This article is based on information that was gathered from FINRA BrokerCheck as of March 9, 2023. If you lost money investing […]
LPL’s Robert Li Involved in Second Investor Complaint
Robert Li (CRD # 4068255) is the subject of a second customer complaint concerning the use of margin, according to records accessed from the Financial Industry Regulatory Authority, or FINRA. Mr. Li is currently associated with LPL Financial in Naperville, Illinois. He is also affiliated with a company called RL Wealth Management Group. This article […]
Did You Invest with Rhett Bedwell?
LPL Financial was censured and fined by the Financial Industry Regulatory Authority (FINRA) in connection with its failure to supervise Rhett Bedwell (CRD 5664392) on December 7, 2022. While not named in the acceptance, waiver, and consent letter, Bedwell is identified based on the details provided in the letter. FINRA imposed a fine of $150,000 for […]