Former LPL Broker Geno Gates Permanently Barred by FINRA

Item: Silver Law Group
Rating: 5
Author: Ben M.

Geno Gates, a former broker at LPL Financial, was permanently barred by FINRA for failing to respond to a request by FINRA for information. Geno Gates was an LPL broker from August 2011 until December 2013 when he was terminated for violating firm policy regarding outside business activities. Prior to working at LPL, he was worked at Ameriprise Financial Services from May 2004 until August 2011.

Silver Law Group represents investors in securities and investment fraud cases. Our lawyers are admitted to practice in New York and Florida and represent investors nationwide to help recover investment losses due to stockbroker misconduct. If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

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