KERRY HOFFMAN, THOMAS CONWELL Named In SEC Complaint The Securities and Exchange Commission (“SEC”) brought charges against prior LPL Financial LLC securities broker Kerry Hoffman (CRD#: 1061740, Mundelein, Illinois) and barred-broker Thomas Conwell (CRD#: 2095817, Fort Meyers, Florida). Specifically, the agency filed Civil Action #: 19-cv-4409 on July 1, 2019, claiming Hoffman and Conwell violated […]