Articles Tagged with scott silver LPL Financial

Silver Law Group is Investigating Sanders Spangler of LPL Financial LLC

July 26, 2018 | Silver Law Group

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Sanders Spangler (CRD #4188542) was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Spangler consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA in connection with an investigation into potential unauthorized trading in customer accounts.

Sanders Spangler was registered with LPL Financial’s Texas office until March 2017 when he was discharged for exercising discretionary power in customer account(s), in violation of firm policy.

Contact Our Firm if You’ve Invested with Sanders Spangler

Silver Law Group is Investigating Joshua Ellis of LPL Financial LLC

July 26, 2018 | Silver Law Group

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).

South-Florida-Broker-Brian-Michael-Berger-Permanently-Barred-by-FINRA-1024x683-300x200 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.

Contact Our Firm if You’ve Invested with Joshua Ellis