LPL Financial Sued By Investors Over Unsuitable Annuity Sales LPL Financial LLC (CRD#: 6413, Boston, Massachusetts) ) is a brokerage firm regulated by Financial Industry Regulatory Authority (“FINRA”) who has reported one hundred twenty-nine regulatory events concerning allegations of LPL Financial’s violations of regulations or rules in the securities industry. Additionally, LPL Financial has also […]

Buckman, Buckman & Reid, Inc. VP Investigated For Failure To Supervise Harry John Buckman Jr (CRD#: 2202467, Little Silver, New Jersey) is presently the senior vice president of Buckman, Buckman & Reid, Inc., a brokerage firm regulated by Financial Industry Regulatory Authority (“FINRA”) with main offices in Little Silver, New Jersey that conducts securities business […]

Capitol Securities Management Fined For Failing To Supervise Trading In Unit Investment Trusts Capitol Securities Management, Inc. (CRD #14169, Glen Allen Virginia) consented to being censured by Financial Industry Regulatory Authority (“FINRA”) and paying a $100,000 fine pursuant to a Letter of Acceptance, Waiver and Consent (“AWC”) #2017052215401 that was executed on May 25, 2018. […]