{"id":157,"date":"2020-01-07T12:33:54","date_gmt":"2020-01-07T17:33:54","guid":{"rendered":"https:\/\/www.secarbitrationlawyer.com\/?p=157"},"modified":"2020-01-07T12:33:54","modified_gmt":"2020-01-07T17:33:54","slug":"james-booth-of-lpl-financial-barred-from-securities-industry-for-operating-ponzi-scheme","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/james-booth-of-lpl-financial-barred-from-securities-industry-for-operating-ponzi-scheme\/","title":{"rendered":"James Booth Of LPL Financial Barred From Securities Industry For Operating Ponzi Scheme"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-159 size-medium\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2020\/01\/red-card-1-300x200.jpg\" alt=\"James Booth (CRD# 1906145), the founder of Booth Financial Associates and a registered representative with LPL Financial LLC in Norwalk, Connecticut has been permanently barred by the both the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) from acting as a broker or investment adviser or otherwise associating with a broker-dealer or provider of securities and\/or investment advice. Prior to joining LPL Financial in 2018, Booth was registered with Invest Financial Corporation.\" width=\"300\" height=\"200\" \/>James Booth (<a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/1906145\" target=\"_blank\">CRD# 1906145<\/a>), the founder of Booth Financial Associates and a registered representative with LPL Financial LLC in Norwalk, Connecticut has been permanently barred by the both the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) from acting as a broker or investment adviser or otherwise associating with a broker-dealer or provider of securities and\/or investment advice. Prior to joining LPL Financial in 2018, Booth was registered with Invest Financial Corporation. <a href=\"https:\/\/www.silverlaw.com\/blog\/james-booth-of-lpl-financial-barred-from-securities-industry-for-operating-ponzi-scheme\/#more-157\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>James Booth (CRD# 1906145), the founder of Booth Financial Associates and a registered representative with LPL Financial LLC in Norwalk, Connecticut has been permanently barred by the both the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) from acting as a broker or investment adviser or otherwise associating with a broker-dealer [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[1676,580],"tags":[],"class_list":["post-157","post","type-post","status-publish","format-standard","hentry","category-ponzi-scheme","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>James Booth Of LPL Financial Barred For Operating Ponzi Scheme<\/title>\n<meta name=\"description\" content=\"James Booth, of Booth Financial Associates and a broker with LPL Financial in Norwalk, CT has been barred by FINRA and the SEC.\" \/>\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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