LPL Financial Terminates Brokers Paul Avila, Eric Heinz, Ioannis Papatherapontos LPL Financial LLC (CRD#: 6413) is a both a brokerage firm which Financial Industry Regulatory Authority (“FINRA”) regulates, and an investment advisory that the Securities and Exchange Commission (“SEC”) regulates. LPL Financial reports that 148 regulatory actions were brought against the firm for violating securities […]