{"id":2504,"date":"2017-05-25T00:00:00","date_gmt":"2017-05-25T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/larry-s-werbel-concorde-summit-ohio\/"},"modified":"2017-12-22T14:06:38","modified_gmt":"2017-12-22T19:06:38","slug":"larry-s-werbel-concorde-summit-ohio","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/larry-s-werbel-concorde-summit-ohio\/","title":{"rendered":"Misconduct-Riddled Former Ohio-based Broker Under Investigation Amidst Pending FINRA Arbitrations"},"content":{"rendered":"<\/p>\n

\"Failure<\/a>Silver Law Group is investigating former Ohio-based Concorde Investment Services, LLC (CRD# 151604)<\/a> broker Larry S. Werbel (CRD# 828351)<\/a> for three pending FINRA arbitrations and a litany of disclosures on his FINRA BrokerCheck report.<\/p>\n

According to Werbel\u2019s FINRA BrokerCheck report, Werbel has three pending FINRA arbitrations filed in the last four months that allege unsuitable recommendations, failure to supervise, fraud, breach of duty of loyalty, and negligence for an aggregate amount of over $1.25 million.\u00a0 At least one of the complaints alleges securities violations spanning back to Werbel\u2019s employment with LPL Financial LLC (CRD# 6413)<\/a> from February 2009 to February 2011.<\/p>\n

FINRA\u2019s BrokerCheck tool<\/a> is a valuable way to examine a broker\u2019s background.\u00a0 The investor tool discloses FINRA arbitrations that have been settled, are pending or have been denied; bankruptcies, civil judgments and tax liens; employment separations and other discharges; criminal proceedings; and regulatory actions.\u00a0 According to an InvestmentNews report<\/a>, only about 12 percent of financial advisors have any type of disclosure events on their records.<\/p>\n

Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

Silver Law Group is investigating former Ohio-based Concorde Investment Services, LLC (CRD# 151604) broker Larry S. Werbel (CRD# 828351) for three pending FINRA arbitrations and a litany of disclosures on his FINRA BrokerCheck report. According to Werbel\u2019s FINRA BrokerCheck report, Werbel has three pending FINRA arbitrations filed in the last four months that allege unsuitable […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[578],"tags":[106,634,635,636,219],"class_list":["post-2504","post","type-post","status-publish","format-standard","hentry","category-all-releases","tag-cetera-financial-group","tag-concorde-investment-services","tag-larry-s-werbel","tag-q-lotus-holdings","tag-summit-brokerage-services"],"yoast_head":"\nMisconduct-Riddled Former Ohio-based Broker Under Investigation Amidst Pending FINRA Arbitrations — Securities Arbitration Lawyers Blog — May 25, 2017<\/title>\n<meta name=\"description\" content=\"If you've lost money investing with Larry S. 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