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Staff Attorney
May 18, 20182 min read
LPL Financial Broker Bradley Everett Gardner Barred for Conversion of Customer Funds
Bradley Everett Gardner (Gardner) submitted a Letter of Acceptance, Waiver and Consent (“AWC”) pursuant to FINRA Rule 9216 of FINRA’s...
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Staff Attorney
Dec 27, 20172 min read
Former LP Broker Terrence Diehl Disciplined for Private Securities Transactions
Terrence Jeffrey Diehl (Diehl), a registered representative, settled a complaint with the Financial Industry Regulatory Authority...
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Staff Attorney
Dec 4, 20172 min read
Former LPL Financial Broker Roger Zullo Barred for Failing to Cooperate with Fraud Investigation
LPL Financial financial advisor, Roger Salvatore Zullo (Zullo), recently settled allegations with the Financial Industry Regulatory...
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Staff Attorney
Nov 20, 20172 min read
Financial Advisor Stephen Kaufman Suspended for Discretionary Trades in Customers’ Accounts
The Financial Industry Regulatory Authority (FINRA) recently announced Stephen J. Kaufman (Kaufman) entered into a Letter of Acceptance,...
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Staff Attorney
Mar 31, 20172 min read
Former LPL Broker Michael Babyak Disciplined for Private Securities transactions
In October 2016, Michael Babyak, Jr. II (Babyak), a registered representative, settled a complaint with the Financial Industry Regulatory...
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Staff Attorney
Mar 1, 20172 min read
Former LPL Broker Joseph Likens Barred for Failing to Cooperate with Investigation involving Private
Former LPL Financial broker, Joseph Alan Likens (Likens), recently settled allegations with the Financial Industry Regulatory Authority...
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Staff Attorney
Oct 27, 20162 min read
Former LPL Broker Russell Sadler Disciplined for Outside Business Activities and Private Securities
Russell Leo Sadler (Sadler), a registered representative, settled a complaint with the Financial Industry Regulatory Authority (FINRA),...
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