Ex-LPL broker ordered to pay $1.9 mln in SEC fraud suit | Business Information & News | Westlaw

Ex-LPL broker ordered to pay $1.9 mln in SEC fraud suit | Business Information & News | Westlaw

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8/28/14 REUTERS 17:15:42
REUTERS
Copyright © 2014 Thomson Reuters
August 28, 2014
Ex-LPL broker ordered to pay $1.9 mln in SEC fraud suit
Suzanne Barlyn
(Reuters) - A former broker for a unit of LPL Financial LLC accused of diverting clients' funds for his personal expenses has been ordered by a federal judge to pay more than $1.9 million in civil sanctions.
In announcing the ruling against Blake...
---- Index References ----
Company: LPL FINANCIAL LLC; FINANCIAL INDUSTRY REGULATORY AUTHORITY INC; LPL FINANCIAL HOLDINGS INC
News Subject: (Financial Fraud (1FI18); Regulatory Affairs (1RE51); Crime (1CR87); Fraud (1FR30); Social Issues (1SO05))
Industry: (Insurance Regulatory (1IN40); Financial Services (1FI37); Insurance (1IN97); Financial Services Regulatory (1FI03); Annuities (1AN75))
Language: EN
Other Indexing: (Jonathan Ernst; Willis Hunt Jr.)
Keywords: securities (MCC:f); (N2:US); (N2:AMERS); (N2:USA); (MCCL:OVR); (MCCL:OEC)
Word Count: 373
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