Investors potentially experienced sales practice violations due to securities broker Enrique Lopez (also known as Rick Lopez) [CRD: 2209385, Mission, Texas], based on publicly available information Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Lopez worked for LPL Financial LLC in McAllen, Texas, from March 13, 2008, to August 8, 2018, and has been registered with […]

Investors reportedly complained about securities broker Edward Terral Hill (also known as Ed Hill) [CRD: 6008804, West End, North Carolina], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Hill joined LPL Financial LLC on March 1, 2018, as both a broker and an investment adviser at its West End, North Carolina office. […]

One or more investors possibly experienced losses because of securities broker Brian Scott Lesley [CRD: 3090243, Starkville, Mississippi], based on publicly available information on FINRA BrokerCheck. Evidently, Lesley has worked for LPL Financial LLC since March 7, 2012, working through branch locations in Starkville, West Point, Louisville, Columbus, and Winona, Mississippi. Read below to learn […]

Investors potentially experienced sales practice violations due to securities broker Michael Christopher Rudio [CRD: 6322313, Atlanta, Georgia], according to public information on FINRA BrokerCheck. Rudio has worked for Purshe Kaplan Sterling Investments since August 11, 2021, and for Phase Line Capital LLC since July 12, 2021. Previously, he worked with LPL Financial LLC from August […]

Investors potentially experienced sales practice violations due to securities broker Gregory Ellis Gann (also known as Ellis Levin Gann) [CRD: 2144505, Baltimore, Maryland], based on disclosures on FINRA BrokerCheck. Gann has worked for LPL Financial LLC since November 24, 2005, working out of offices in Baltimore, Columbia, and Annapolis, Maryland. Read on to learn more […]

Investors might have sustained losses due to securities broker Mikyung Oh (also known as Mikee Oh) [CRD: 2403670, Greenwood Village, Colorado], according to disclosures on FINRA BrokerCheck. Evidently, Oh worked for LPL Financial LLC from November 18, 2011, to December 31, 2019. Keep reading to learn more about the disclosures involving Oh. LPL Financial LLC […]

FINRA brought a complaint against securities broker Nana Kwame Kwakye-Bissah [CRD: 7044974, Washington, District of Columbia], based on disclosures found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Kwakye-Bissah worked for LPL Financial LLC from July 27, 2023, to October 7, 2024; Fidelity Brokerage Services LLC from May 14, 2020, to June 10, 2023; and […]

Investors reportedly complained about securities broker Barry Luther Buchholz (also known as Barry Bucholz) [CRD: 1583582, Cedar Rapids, Iowa], according to disclosures on FINRA BrokerCheck. Evidently, Buchholz worked for LPL Financial LLC from October 11, 2021, to November 29, 2024; Private Client Services LLC from April 25, 2018, to October 7, 2021; and Cambridge Investment […]

Regulators suspended securities broker Kyle Joon Kim (also known as Kyo Kim) [CRD: 2446395, Summit, New Jersey], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Kyle Kim worked for The Leaders Group Inc. from May 28, 2024 to May 16, 2025, and for LPL Financial LLC from February 14, 2018 to June […]