LPL Broker Dain Stokes Allegedly Misappropriated Funds Investor Alert! The Securities and Exchange Commission (“SEC”) barred LPL Financial securities broker Dain Farrell Stokes (CRD#: 2960801, Bedford, New Hampshire). These sanctions come after the New Hampshire Department of State Bureau of Securities Regulation suspended his licenses and issued him a fine for seemingly misappropriating investor funds […]

Broker Jason LaBelle Allegedly Misrepresented Promissory Note Details Soreide Law Group is reviewing possible investor claims against securities broker Jason C. LaBelle (CRD#: 5654529, Pittsfield, Massachusetts). Namely, FINRA issued a suspension and a fine to the former LPL Financial securities broker for his outside business activities. Not only that, but at least four clients filed […]

LPL Financial's Nicholas Travascio Allegedly Recommended Unsuitable REITs Investors are voicing complaints and serious concerns in regard to Nicholas Travascio [CRD#: 2581756, Hurst, Texas]. Supposedly, the securities broker, who worked for LPL Financial between May 1999 and December 2018, discloses 3 investor disputes on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck. Namely, LPL Financial clients indicate […]

ROGER ZULLO Cause You Investment Losses? The Securities and Exchange Commission (“SEC”) and the Financial Industry Regulatory Authority (“FINRA”), and at least one state regulator, have barred LPL Financial LLC stockbroker Roger Zullo (CRD#: 1882087, Boston, Mass.) from acting as a broker or investment advisor.  The SEC and FINRA actions come after Mass. Securities Division […]