{"id":2577,"date":"2017-02-22T00:00:00","date_gmt":"2017-02-22T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/former-lpl-financial-broker-mark-tauzin-suspended-fined-finra\/"},"modified":"2018-10-08T12:37:24","modified_gmt":"2018-10-08T16:37:24","slug":"former-lpl-financial-broker-mark-tauzin-suspended-fined-finra","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/former-lpl-financial-broker-mark-tauzin-suspended-fined-finra\/","title":{"rendered":"Former LPL Financial Broker Mark Tauzin Suspended and Fined by FINRA"},"content":{"rendered":"<\/p>\n

\"Former<\/p>\n

Tauzin\u2019s alleged actions are some of the latest in a long history of violations by LPL advisors<\/h2>\n

Mark Tauzin won\u2019t be able to work as a broker again until July of this year. In November of 2016, the Financial Industry Regulatory Authority (FINRA) suspended him eight months for what they called a \u201cpattern of unsuitable short-term trading of front-loaded Unit Investment Trusts (UITs).\u201d In addition to the suspension, Tauzin was ordered to pay fines that totaled over $225,000.<\/p>\n

FINRA found that there was no reasonable basis for Tauzin to believe that these investments were suitable for his clients. In addition, he is reported to have maintained blank forms with customer signatures that allowed him to manipulate transactions.<\/p>\n

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

Tauzin\u2019s alleged actions are some of the latest in a long history of violations by LPL advisors Mark Tauzin won\u2019t be able to work as a broker again until July of this year. In November of 2016, the Financial Industry Regulatory Authority (FINRA) suspended him eight months for what they called a \u201cpattern of unsuitable […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[588],"tags":[9],"class_list":["post-2577","post","type-post","status-publish","format-standard","hentry","category-finra-arbitration","tag-finra"],"yoast_head":"\nFormer LPL Financial Broker Mark Tauzin Suspended and Fined by FINRA — Securities Arbitration Lawyers Blog — February 22, 2017<\/title>\n<meta name=\"description\" content=\"Check out the new article Former LPL Financial Broker Mark Tauzin Suspended and Fined by FINRA on silverlaw.com\" \/>\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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