Articles Posted in LPL Financial

Patrick Thayer, Formerly with Parkland Securities and LPL Financial, Barred from Securities Industry LEBANON, OHIO Have you lost money with stockbroker Patrick Thayer in Lebanon, Ohio? Our securities arbitration firm is looking into claims made by FINRA (the Financial Industry Regulatory Authority) against Patrick Thayer, who previously worked with Parkland Securities and LPL Financial. In…

WEST PALM BEACH, FLORIDA Have you lost money with financial advisor Caroline Mohan, formerly with LPL Financial, in West Palm Beach, Florida? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Caroline Mohan, formerly Caroline Reyes. FINRA barred Caroline Reyes Mohan from the securities industry after she failed to respond to…

RESTON, VIRGINIA Have you lost money with financial advisor Frank Van Houten, formerly with Raymond James Financial and now with Citigroup in Reston, Virginia? We are looking into allegations made against Frank Van Houten. Van Houten has been the subject of a recent customer complaint. The complaint alleges an unsuitable investment in an offshore product…

PALM HARBOR, FLORIDA Have you lost money with financial advisor Courtney Kaplan, formerly with LPL Financial and Wells Fargo in Palm Harbor, Florida? We are looking into allegations made against Courtney Kaplan. Kaplan was barred from the securities industry by FINRA after she failed to respond to an investigation. FINRA alleged that Kaplan borrowed money…

SHELTON, CONNECTICUT Have you lost money with financial advisor Cynthia Giovacchino, with LPL Financial in Shelton, Connecticut? We are looking into allegations made against Cynthia Giovacchino. Giovacchino has been the subject of four customer complaints, one of which was recently made. Many of the complaints allege unsuitable investments in REITs (real estate investment trusts) and…

ORLAND PARK, ILLINOIS – Have you lost money with financial advisor Eric P. Burton. of Orland Park, Illinois? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Eric Burton. FINRA suspended Burton for three months and fined him $5,000. Burton was being investigated regarding allegations that he falsified documents in connection…

Financial Advisor Accused of Concentrating Investments in Business Development Companies BIRMINGHAM, ALABAMA – Have you lost money with financial advisor Kevin McCallum of Birmingham, Alabama? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Kevin McCallum. FINRA alleged that McCallum recommended that several of his clients concentrate their investments in BDCs,…