Investors potentially experienced sales practice violations by securities broker Gregory Wayne Berg [CRD: 3081088, Houston, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gregory Berg worked for LPL Financial LLC from August 23, 2023, to January 5, 2026, and previously worked for Merrill Lynch from July 27, 2005, to August 25, 2023. […]

Investors apparently complained about securities broker Stephen Hans Wagner (also known as Steve Wagner) [CRD: 2193508, Ventura, California], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Wagner worked for LPL Financial LLC from January 22, 2016, to January 20, 2026. Read on to find out more about Wagner’s disclosed history. LPL […]

FINRA barred securities broker Derek Lee Copeland [CRD: 4347572, Charlotte, North Carolina], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Copeland worked for LPL Financial LLC from March 5, 2020, to January 30, 2023, where he was registered as a securities broker and investment adviser representative. Investors should continue reviewing the information below […]

Investors apparently complained about securities broker Richard Lloyd Carman [CRD: 2002971, Memphis, Tennessee], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Carman worked for LPL Financial LLC from January 3, 2002, to August 4, 2021, and later for Ameriprise Financial Services LLC from July 23, 2021, to April 12, 2022. Investors […]

Investors potentially experienced sales practice violations by securities broker Shannon Dwain Moore [CRD: 2934682, Jefferson City, Tennessee], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Shannon Moore has worked for LPL Financial LLC since October 11, 2011, where he has been registered while serving clients in Tennessee. Investors should continue reviewing the information […]

Investors apparently complained about securities broker Karen Elizabeth Briggs [CRD: 1100275, Edmonds, Washington], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Briggs worked for LPL Financial LLC from November 6, 2013, to December 20, 2022. Investors should continue reading to learn more about the disclosures involving Briggs. LPL Financial Investor Accused […]

Investors potentially experienced sales practice violations by securities broker Garth James Lurvey [CRD: 4729301, Winter Park, Florida], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Garth Lurvey worked for LPL Financial LLC from December 15, 2016, to March 17, 2022, and later for Private Client Services LLC from March 14, 2022, […]

Investors have reportedly disputed the sales practices of securities broker Gina G. Francisco (also known as Gina Agness and Gina Winters) [CRD: 4490144, Ocala, Florida], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Francisco has been registered with LPL Financial LLC from August 21, 2018, to the present […]

Investors have reportedly disputed the sales practices of securities broker William Hohill Song [CRD: 4008256, Bakersfield, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Song has worked for LPL Financial LLC since November 30, 2022, after previously being registered with Wells Fargo Clearing Services LLC from December 7, 2017, […]