Articles Posted in wire transfers

FINRA Disciplinary Action Against LPL Financial LLC Related to Broker Theft
Greco & Greco, P.C.

On July 25, 2023, the Financial Industry Regulatory Authority (FINRA) issued a Letter of Acceptance, Waiver, and Consent (AWC) against LPL Financial LLC, a prominent independent securities broker headquartered in Fort Mill, South Carolina. This disciplinary action followed a series of egregious violations that involved the conversion/theft of approximately $2.4 million of customer funds by…

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