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Articles Posted in LPL

William “Bill” Tunink of West Des Moines, Iowa Discharged by LPL Financial for Customer Loans
Greco & Greco, P.C.

The Securities Fraud Lawyers at Greco & Greco, P.C. are currently investigating and pursuing customer claims against LPL Financial regarding its former Iowa registered advisor, William “Bill” Tunink. According to FINRA’s Brokercheck Report for Mr. Tunink, he has a customer complaint related to a loan: “Customer lent $140,000 which had not been paid back.” The…

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LPL Financial sanctioned by FINRA for BDC supervisory failures
Greco & Greco, P.C.

The Financial Industry Regulatory Authority (FINRA) has issued a Letter of Acceptance, Waiver, and Consent (AWC) against LPL Financial LLC, a notable member firm in the securities industry. The AWC alleges a series of alleged rule violations that occurred over several years, painting a picture of insufficient supervision and inaccurate information dissemination to customers. Let’s…

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