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LPL Financial LLC, headquartered in San Diego, California, is one of the largest independent broker-dealers and registered investment advisers in the United States. The firm provides investment services and operational support to a vast network of independent financial advisors, financial institutions, and RIAs. This overview examines LPL Financial’s business operations, regulatory profile, and compliance structure, […]
If you’ve suffered losses due to stockbroker market timing strategies, our stockbroker misconduct lawyers can help you recover through FINRA arbitration. The False Promise of Market Timing: Recover Your Stockbroker Negligence Losses You trusted them with your financial future. Your stockbroker assured you they could “time the stock market” to optimize potential return – buy […]
A Story of Loss and Recovery for Investors You’ve spent many years preparing for a comfortable retirement, working hard and saving diligently. Placing your financial future in the hands of financial advisors, stockbroker firms, or insurance agents appeared to be the right move to protect your investments from the uncertainties of the financial market. They […]
Lost Your Shirt on Bad Stockbroker Advice? It’s Not Just Bad Luck – It’s Often a Breach of Trust (And Rules). If you’re reading this, chances are you’re feeling a potent mix of frustration, anxiety, and perhaps even a sense of betrayal. You entrusted a part of your hard-earned financial future to a stockbroker, believing […]
Expungement is the process of removing certain information from a financial professional’s regulatory record. It is a critical but often misunderstood aspect of the Financial Industry Regulatory Authority (FINRA)’s procedures. FINRA expungement, particularly under Rule 2080, has specific rules and strict criteria. In recent years, FINRA has implemented significant changes to make the expungement process […]