{"id":11241,"date":"2023-11-10T10:29:31","date_gmt":"2023-11-10T15:29:31","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=11241"},"modified":"2023-11-10T10:29:31","modified_gmt":"2023-11-10T15:29:31","slug":"finra-bars-broker-john-terzis-after-undisclosed-client-loan","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-john-terzis-after-undisclosed-client-loan\/","title":{"rendered":"FINRA Bars Broker John Terzis After Undisclosed Client Loan"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-11242 size-full\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2023\/11\/Blog-Graphics2-1.png\" alt=\"John Terzis (John Nicholas Terzis CRD# 1805020) is a previously registered broker and investment advisor last employed with LPL Financial LLC (CRD# 6413) of Skokie, IL. His previous employers include IFMG Securities, Inc. (CRD#:14416), also of Skokie, Raymond James Financial Services, Inc. (CRD# 6694) of Glenview, IL, and Vision Investment Services, Inc. (CRD# 46609) of Rosemont, IL. No current employment information is available. He has been in the industry since 1988.\n\nJohn Terzis allegedly borrowed $200,000 from a 69-year-old client who was in ill health without notifying his employer, LPL Financial. The firm had a written policy in place regarding broker-client loans. He assisted the client in transferring funds from her brokerage account to her checking account. He provided a ten-year promissory note in exchange in December of 2019.\n\nAdditionally, in a compliance questionnaire from October 2020, Terzis answered that he had not solicited loan funds from any clients, nor had he issued or participated in any promissory notes outside of the firm.\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2023\/11\/Blog-Graphics2-1.png 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2023\/11\/Blog-Graphics2-1-180x120.png 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>John Terzis (John Nicholas Terzis CRD# <a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/1805020\" target=\"_blank\">1805020<\/a>) is a previously registered broker and investment advisor last employed with LPL Financial LLC (CRD# 6413) of Skokie, IL. His previous employers include IFMG Securities, Inc. (CRD#:14416), also of Skokie, Raymond James Financial Services, Inc. (CRD# 6694) of Glenview, IL, and Vision Investment Services, Inc. (CRD# 46609) of Rosemont, IL. No current employment information is available. He has been in the industry since 1988. <a href=\"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-john-terzis-after-undisclosed-client-loan\/#more-11241\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>John Terzis (John Nicholas Terzis CRD# 1805020) is a previously registered broker and investment advisor last employed with LPL Financial LLC (CRD# 6413) of Skokie, IL. His previous employers include IFMG Securities, Inc. (CRD#:14416), also of Skokie, Raymond James Financial Services, Inc. (CRD# 6694) of Glenview, IL, and Vision Investment Services, Inc. (CRD# 46609) 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":[577,580],"tags":[],"class_list":["post-11241","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>FINRA Bars Broker John Terzis After Undisclosed Client Loan &#8212;<\/title>\n<meta name=\"description\" content=\"John Terzis is a previously registered broker and investment advisor last employed with LPL Financial LLC of Skokie, IL.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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