Michael Brunelli, Formerly With LPL Financial, Suspended by FINRA

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

FINRA suspended former LPL Financial broker Michael Brunelli from association with any FINRA member for six months. This suspension is a result of Brunelli’s alleged failure to respond to a request for information from FINRA related to his apparent acceptance of a check made payable to himself for investment-related services unrelated to LPL business. He was terminated by LPL in June 2014 for these allegations. Brunelli consented to the sanctions and entry of the findings and was fined $5,000.

Brunelli worked at LPL from April 2012 until his termination in June 2014. Prior to working at LPL, Brunelli worked at SII Investments, Legacy Financial Services, New England Securities and Signator Investors.

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