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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...

SEC Bars Longtime Transamerica Broker for Stealing

The Securities and Exchange Commission has barred Pedro Gonzalez-Seijo, a broker formerly affiliated with Transamerica Financial Advisors Inc., after he pled guilty to bank...