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LPL Financial Faces Scrutiny

March 28, 2013 by lmitchum

Although you may not have heard of it, LPL Financial is a big brokerage firm with big problems. LPL is the nation’s fourth largest brokerage, after Wells Fargo, Morgan Stanley and Merrill Lynch. According to a March 21, 2013 article in the New York Times, LPL is facing a flood of complaints from state regulators […]

Filed Under: Blog Tagged With: Atlanta investment fraud attorney, Atlanta securities fraud lawyer, Atlanta Securities Lawyers, FINRA, LPL Financial, Merrill Lynch, Morgan Stanley, REITs, Wells Fargo

State of Georgia Investigating Sales of Reverse Convertible Notes

July 21, 2011 by jordan

It has been reported that the Secretary of State of Georgia, who regulates stockbrokers, is investigating whether securities laws were violated by the sale of reverse convertible notes to Georgia investors. According to a July 21, 2011 report in Bloomberg, the Secretary has issued subpoenas to UBS AG, Morgan Stanley, and Ameriprise Financial Inc. in order […]

Filed Under: Blog Tagged With: Ameriprise Financial, FINRA, Morgan Stanley, Reverse Convertible Notes, SEC, Securities Arbitration Attorney, UBS

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