Multiple securities regulators have barred securities broker Andrew M. Komarow [CRD: 5838564, West Hartford, Connecticut], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Andrew Komarow worked for LPL Financial LLC from April 26, 2016, to December 22, 2022, and for Royal Alliance Associates Inc. from December 13, 2022, to January 4, 2023. […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker JR Richard Allen Ceffalio Jr. (also known as Rich Ceffalio) [CRD: 2619565, Arlington Heights, Illinois], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Richard Ceffalio worked for LPL Financial LLC from November 15, 2019, to […]

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 […]

Investors possibly experienced losses because of securities broker Kevin Lawrence Kelly [CRD: 2293119, Asheville, North Carolina], according to disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kevin Kelly worked for LPL Financial LLC from October 20, 2010, to June 3, 2021. Here’s more about Kevin Kelly's past employment and allegations of unsuitable investment recommendations. […]

Investors may have experienced financial losses because of Kathryn Jo Hackney, also known as Kathryn Hackney and Kathryn Ohlin [CRD: 1548894, Orange, California], according to disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kathryn Hackney joined LPL Financial LLC in Orange, California on May 18, 2022, and previously worked for CUNA Brokerage Services Inc. […]

Investors possibly experienced losses because of securities broker Bryan Scott Foster [CRD: 2702281, Southfield, Michigan], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Bryan Foster joined LPL Financial LLC on October 9, 2009. Here’s more about the securities broker’s disclosures. LPL Financial LLC Investor Accused Foster Of Unsuitable Recommendations Specifically, an LPL […]

Investors might have sustained losses due to securities broker Philip Anthony Riposo [CRD: 400056, Cave Creek, Arizona], and FINRA has sanctioned him, according to disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Riposo was previously registered with United Planners' Financial Services of America A Limited Partner from December 7, 2015, to March 8, […]

Financial Industry Regulatory Authority (FINRA) sanctioned broker Scott Michael Bremus [CRD: 4073006, Dacula, Georgia], and investors complained about his sales practices, according to disclosures on BrokerCheck. Evidently, Bremus most recently worked for LPL Financial LLC from October 14, 2016, to October 29, 2021. Here’s more about these disclosures. FINRA Suspended Bremus For Private Securities Transactions […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker John Aloysius Dougherty (also known as Jack Dougherty) [CRD: 3018615, Blue Bell, Pennsylvania], given the disclosures on FINRA BrokerCheck. Evidently, Dougherty worked for LPL Financial LLC from January 4, 2021, to August 11, 2023, and for Wells Fargo […]