Securities Arbitration Lawyers BlogSilver Law Group is Investigating Sanders Spangler of LPL Financial LLC
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.
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