{"id":10825,"date":"2022-09-27T14:48:30","date_gmt":"2022-09-27T18:48:30","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=10825"},"modified":"2022-09-27T14:48:30","modified_gmt":"2022-09-27T18:48:30","slug":"caroline-mohan-former-lpl-broker-barred-from-industry","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/caroline-mohan-former-lpl-broker-barred-from-industry\/","title":{"rendered":"Caroline Mohan, Former LPL Broker, Barred From Industry"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-10826 size-full\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2022\/09\/Caroline-Mohan.png\" alt=\"Caroline Mohan, aka, Caroline Reyes (CRD:# 2429577) is a former registered broker and investment advisor. Her last known employer was LPL Financial LLC (CRD#:6413) of West Palm Beach, FL. She was previously employed as a broker with Invest Financial Corporation (CRD#:12984) of Palm Beach Gardens and Merrill Lynch, Pierce, Fenner &amp; Smith Incorporated (CRD#:7691) of Lake Worth, FL. She has been in the industry since 2011.  Mohan resigned from LPL Financial while under internal review for possible involvement with an outside business activity that she failed to disclose to the firm. Additionally, she was also alleged to have participated in private securities transactions.  On March 11th, 2021, LPL Financial filed a uniform termination notice for securities industries registration, or a Form U5, stating that Mohan voluntarily resigned during an internal review. As a result, FINRA initiated an investigation, and requested on-the-record testimony from her. Mohan declined to provide this information, in violation of FINRA policies.  In response for Mohan\u2019s refusal to provide on the record testimony, FINRA issued a sanction barring Mohan from association with any FINRA member in all capacities. Mohan signed a letter of Acceptance Waiver And Consent (AWC) letter on November 17th, 2021. The bar became went into effect on November 22nd, 2021.  Mohan has no other disclosures in her CRD.\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2022\/09\/Caroline-Mohan.png 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2022\/09\/Caroline-Mohan-180x120.png 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>Caroline Mohan, aka, Caroline Reyes (CRD# <a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/2429577\" target=\"_blank\">2429577<\/a>) is a former registered broker and investment advisor. Her last known employer was LPL Financial LLC (CRD#:6413) of West Palm Beach, FL. She was previously employed as a broker with Invest Financial Corporation (CRD#:12984) of Palm Beach Gardens and Merrill Lynch, Pierce, Fenner &amp; Smith Incorporated (CRD#:7691) of Lake Worth, FL. She has been in the industry since 2011. <a href=\"https:\/\/www.silverlaw.com\/blog\/caroline-mohan-former-lpl-broker-barred-from-industry\/#more-10825\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Caroline Mohan, aka, Caroline Reyes (CRD# 2429577) is a former registered broker and investment advisor. Her last known employer was LPL Financial LLC (CRD#:6413) of West Palm Beach, FL. She was previously employed as a broker with Invest Financial Corporation (CRD#:12984) of Palm Beach Gardens and Merrill Lynch, Pierce, Fenner &amp; Smith Incorporated (CRD#:7691) of [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[580],"tags":[],"class_list":["post-10825","post","type-post","status-publish","format-standard","hentry","category-stockbroker-misconduct"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v25.7 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>Caroline Mohan, Former LPL Broker, Barred From Industry &#8212;<\/title>\n<meta name=\"description\" content=\"Caroline Mohan, aka Caroline Reyes is a former broker and investment advisor. Her last employer was LPL Financial of West Palm Beach, FL.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/caroline-mohan-former-lpl-broker-barred-from-industry\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Caroline Mohan, Former LPL Broker, Barred From Industry &#8212;\" \/>\n<meta name=\"twitter:description\" content=\"Caroline Mohan, aka Caroline Reyes is a former broker and investment advisor. Her last employer was LPL Financial of West Palm Beach, FL.\" \/>\n<meta name=\"twitter:image\" content=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2022\/09\/Caroline-Mohan.png\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Silver Law Group\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"3 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"Caroline Mohan, Former LPL Broker, Barred From Industry &#8212;","description":"Caroline Mohan, aka Caroline Reyes is a former broker and investment advisor. 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Her last employer was LPL Financial of West Palm Beach, FL.","twitter_image":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2022\/09\/Caroline-Mohan.png","twitter_misc":{"Written by":"Silver Law Group","Est. reading time":"3 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"WebPage","@id":"https:\/\/www.silverlaw.com\/blog\/caroline-mohan-former-lpl-broker-barred-from-industry\/","url":"https:\/\/www.silverlaw.com\/blog\/caroline-mohan-former-lpl-broker-barred-from-industry\/","name":"Caroline Mohan, Former LPL Broker, Barred From Industry &#8212;","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/#website"},"primaryImageOfPage":{"@id":"https:\/\/www.silverlaw.com\/blog\/caroline-mohan-former-lpl-broker-barred-from-industry\/#primaryimage"},"image":{"@id":"https:\/\/www.silverlaw.com\/blog\/caroline-mohan-former-lpl-broker-barred-from-industry\/#primaryimage"},"thumbnailUrl":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2022\/09\/Caroline-Mohan.png","datePublished":"2022-09-27T18:48:30+00:00","author":{"@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"description":"Caroline Mohan, aka Caroline Reyes is a former broker and investment advisor. 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