Lori Copeland Barred As Securities Broker

FINRA permanently barred securities broker Lori Fleischhacker Copeland [CRD: 6437019, Charlotte, North Carolina], according to Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Lori Copeland worked for LPL Financial LLC from May 26, 2021, to January 30, 2023. Continue reading to learn more about the disclosures linked to Lori Copeland's professional conduct.

Regulatory Sanction Issued Against Copeland Followed Investigation

Particularly, on February 21, 2024, FINRA issued Case No. 2023077755201, sanctioning Lori Copeland for her refusal to comply with regulatory requests. Specifically, Copeland was barred permanently from associating with any FINRA member in all capacities. This action followed allegations that Copeland did not provide documents and information requested by FINRA concerning its investigation into her outside business activities.

Copeland, previously registered with LPL Financial LLC, was investigated by FINRA following her termination by the firm on January 30, 2023. The termination was due to Copeland’s failure to disclose and receive approval for positions held with outside businesses formed prior to her registration with the firm.

Lori Copeland Violated FINRA Rules

In late 2023, FINRA requested specific documents from Copeland, who acknowledged the requests but failed to provide the required information by the set deadlines. The regulatory action concluded with an Acceptance, Waiver Consent (AWC), whereby Copeland did not admit or deny the findings but consented to FINRA’s findings, including her violation of Rules 8210 and 2010.

LPL, Independent Advisor Alliance Disaffiliated With Copeland For Violating Conduct Rules

Particularly, on January 18, 2023, LPL Financial and Independent Advisor Alliance both disaffiliated with Lori Copeland. Evidently, Independent Advisor Alliance alleged that Copeland failed to disclose outside business activities to the firms.

Losses Because Of Lori Copeland?

Have you experienced losses because of Lori Copeland? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities lawyer about your legal options. Soreide Law Group has recovered losses for many clients in the US, works on a contingency fee basis, and advances all costs. Copeland and brokerage firms she worked for deny any allegations of sales practice violations.