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 February 2023, Thayer was barred from the securities brokerage industry, because he failed to respond to an investigation.   FINRA was looking into allegations that he misappropriated or stole money from clients.

According to FINRA’s BrokerCheck, Patrick Thayer had been with LPL Financial from September 2020 to October 2022 and with Parkland Securities from August 2014 to August 2020.  He worked in Lebanon, Ohio and operated Broadway Financial Solutions.  It is unclear whether Broadway Financial Solutions was also investigated.

FINRA regulates the securities brokerage industry.  Amongst its rules is FINRA Rule 8210, which provides that representatives like Patrick Thayer are required to respond with FINRA investigation.  Additionally, LPL Financial and Parkland Securities must adequately monitor the conduct of its financial advisors.

Israels & Neuman is an investment fraud and securities arbitration law firm that has represented over 1,000 investors in the past.  We represent investors throughout the country, including in Ohio.

View Thayer, p BrokerCheck 4.14.23

If you lost money with Patrick Thayer, Parkland Securities, or LPL Financial, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.