{"id":2602,"date":"2017-01-25T00:00:00","date_gmt":"2017-01-25T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/vermont-broker-paul-e-dorion-investigation\/"},"modified":"2018-10-08T12:38:16","modified_gmt":"2018-10-08T16:38:16","slug":"vermont-broker-paul-e-dorion-investigation","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/vermont-broker-paul-e-dorion-investigation\/","title":{"rendered":"Former LPL Financial Broker Paul E. Dorion Under Investigation After FINRA Bars Him"},"content":{"rendered":"<\/p>\n

Silver Law Group is investigating former Vermont-based LPL Financial LLC (CRD# 6413)<\/a> broker Paul E. Dorion (CRD# 1103701)<\/a> after FINRA permanently barred him<\/p>\n

According to Dorion\u2019s FINRA BrokerCheck report, FINRA permanently barred Dorion from acting as a broker or otherwise associating with firms that sell securities to the public after he failed to respond to a FINRA request for information.<\/p>\n

The permanent bar follows a discharge by LPL Financial in October 2015 after Dorion allegedly placed unauthorized trades in an LPL Financial customer account.\u00a0 Further, LPL Financial, according to the BrokerCheck report, had concerns over concentrated equity positions in client accounts and alleged Dorion failed to respond to LPL Financial\u2019s compliance representatives.<\/p>\n

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

Silver Law Group is investigating former Vermont-based LPL Financial LLC (CRD# 6413) broker Paul E. Dorion (CRD# 1103701) after FINRA permanently barred him According to Dorion\u2019s FINRA BrokerCheck report, FINRA permanently barred Dorion from acting as a broker or otherwise associating with firms that sell securities to the public after he failed to respond to […]<\/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":[],"class_list":["post-2602","post","type-post","status-publish","format-standard","hentry","category-all-releases"],"yoast_head":"\nFormer LPL Financial Broker Paul E. Dorion Under Investigation After FINRA Bars Him — Securities Arbitration Lawyers Blog — January 25, 2017<\/title>\n<meta name=\"description\" content=\"If you have lost money investing with Paul E. 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