{"id":2588,"date":"2017-02-03T00:00:00","date_gmt":"2017-02-03T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/failure-comply-finra-request-terminates-broker-lance-shaws-securities-industry-career-follow\/"},"modified":"2018-10-08T12:37:35","modified_gmt":"2018-10-08T16:37:35","slug":"failure-comply-finra-request-terminates-broker-lance-shaws-securities-industry-career-follow","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/failure-comply-finra-request-terminates-broker-lance-shaws-securities-industry-career-follow\/","title":{"rendered":"Failure to Comply with FINRA Request Terminates Broker Lance Shaw\u2019s Securities Industry Career \u2013 Follow Up"},"content":{"rendered":"<\/p>\n

\"Failure<\/p>\n

His former firm, LPL Financial, is facing serious accusations<\/h2>\n

In November, we chronicled the history of Lance Shaw<\/span><\/a> and why FINRA barred him from ever working as a broker again. Over the course of his 15-year career, he was involved in eight customer disputes, with the majority of them related to unauthorized trading<\/span><\/a>.<\/p>\n

One of those disputes occurred while Shaw was working for LPL Financial, LLC<\/span><\/a>, and it involved allegations of unsuitable investments and excessive trading of a client\u2019s retirement account. The damages granted totaled $175,000.<\/p>\n

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

His former firm, LPL Financial, is facing serious accusations In November, we chronicled the history of Lance Shaw and why FINRA barred him from ever working as a broker again. Over the course of his 15-year career, he was involved in eight customer disputes, with the majority of them related to unauthorized trading. One of […]<\/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":[9,228],"class_list":["post-2588","post","type-post","status-publish","format-standard","hentry","category-all-releases","tag-finra","tag-securities-industry-career"],"yoast_head":"\nFailure to Comply with FINRA Request Terminates Broker Lance Shaw\u2019s Securities Industry Career \u2013 Follow Up — Securities Arbitration Lawyers Blog — February 3, 2017<\/title>\n<meta name=\"description\" content=\"Check out the new article Failure to Comply with FINRA Request Terminates Broker Lance Shaw\u2019s Securities Industry Career \u2013 Follow Up 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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