Securities Arbitration Lawyers BlogSilver Law Group is Investigating Joshua Ellis of LPL Financial LLC
Joshua Ellis (CRD #5500165) was suspended on March 26, 2018 from associating with any FINRA member firm in all capacities. If Ellis fails to request termination of the suspension within three months of the date of the Notice of Suspension, he will automatically be barred on May 31, 2018 from association with any FINRA member in all capacities pursuant to FINRA Rule 9552(h).
Joshua Ellis was with LPL Financial in its Kennesaw, Georgia office until October 2017 when he was discharged for failing to timely respond to inquiries from the firm’s compliance department.