LPL Financial

Arizona LPL Financial Broker Dominic T. DeBruin Under Investigation After FINRA Bar

February 10, 2017 | Silver Law Group

Silver Law Group is investigating former Arizona-based LPL Financial LLC (CRD# 6413) broker Dominic T. DeBruin (CRD# 2788196) after FINRA permanently barred the broker.

According to DeBruin’s FINRA BrokerCheck report, FINRA permanently barred DeBruin from acting as a broker or otherwise associating with firms that sell securities to the public.

According to the FINRA BrokerCheck report, DeBruin, without admitting or denying the findings, consented to FINRA entry of findings that he refused to provide information and documents and to appear for on-the-record testimony as requested by FINRA.

Former LPL Broker Thomas Hindes Barred by FINRA

December 14, 2015 | Silver Law Group

Broker Thomas Hindes, formerly of LPL Financial, was permanently barred by FINRA for failing to respond to a request by FINRA for information during the course of an investigation. Hindes also has a pending complaint while at LPL for allegedly misrepresenting a variable annuity.

Hindes was registered at LPL Financial from August 2004 until April 2014. Prior to working at LPL, Hindes was a broker with Edward Jones.

Silver Law Group represents investors in securities and investment fraud cases. Our lawyers are admitted to practice in New York and Florida and represent investors nationwide to help recover investment losses due to stockbroker misconduct. If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Jon Cox Barred From Securities Industry After FINRA Launches Investigation

July 28, 2015 | Silver Law Group

Investigation follows termination from LPL Financial

Jon Lawrence Cox, who has been in the securities industry since June 1990, according to FINRA documents, has been barred as of April 29 after allegedly failing to respond to three written requests from FINRA to provide information to aid an investigation into allegations against him.

Cox was discharged from LPL Financial after allegedly violating policies about outside business activities, according to a disclosure made by the firm. After receiving this information, FINRA launched its own investigation into whether those activities violated its rules as well. FINRA requested information from Cox, who allegedly did not provide it, leading to his barring.

Broker Robert Tricarico Permanently Barred from Securities Industry

July 14, 2015 | Silver Law Group

Alleged mismanagement of funds and failure to provide documentation to FINRA lead to Industry Bar

FINRA had questions for Robert Tricarico, Tricarico did not provide the information requested. And now Robert Tricarico is permanently barred from associating with any FINRA member in any capacity. That means he is barred from the securities industry forever.

To fill in the background, here are the details: