Tag: rep
FINRA Suspends and Fines Former LPL Rep for Borrowing $1.3 Million...
The Financial Industry Regulatory Authority has suspended and fined former LPL broker, Mark Lamkin, for allegedly borrowing money from a longtime friend who was...
FINRA Bars Former Pruco Broker for Forging VA Applications to Meet...
The Financial Industry Regulatory Authority has barred Karen Paek, a former Pruco Securities broker, for creating and submitting multiple fictitious variable annuity applications to...
Emerson Equity Expands Team with Two Executive Hires
Emerson Equity LLC, a full-service brokerage firm, has hired two new executives in its latest expansion; Carolyn Jenkins as chief process officer and Marlene...
SEC Charges Former Next Financial Adviser with $3.9 Million Fraud
The Securities and Exchange Commission has charged a former Next Financial registered representative and investment adviser in Altoona, Pennsylvania, with operating a long-running offering...
Massachusetts Orders NPH Broker-Dealer to Refund Investors for Non-Traded REIT Sales
The Massachusetts Securities Division has ordered SII Investments Inc., an independent broker-dealer within the National Planning Holdings network, to pay restitution to certain Massachusetts...
