{"id":2631,"date":"2017-01-04T00:00:00","date_gmt":"2017-01-04T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/finra-permanently-barred-lpl-financial-broker-paul-dorion\/"},"modified":"2018-10-08T12:37:56","modified_gmt":"2018-10-08T16:37:56","slug":"finra-permanently-barred-lpl-financial-broker-paul-dorion","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-permanently-barred-lpl-financial-broker-paul-dorion\/","title":{"rendered":"FINRA has Permanently Barred LPL Financial Broker Paul Dorion"},"content":{"rendered":"<\/p>\n

\"FINRA<\/p>\n

Churning and aggressive trading were two allegations leveled against the Vermont broker<\/h2>\n

In July of 2016, the Financial Industry Regulatory Authority (FINRA) sent a letter out to broker Paul Dorion letting him know that he was being suspended due to a number of allegations. Dorion had until October to supply FINRA with more information in order to terminate the suspension, but because he failed to do so, he is now barred permanently from conducting business with any FINRA member.<\/p>\n

Over the course of his 32-year career, Dorion worked for three different brokerage firms. In 1983, he began with American Capital Financial Services, INC. before moving on to Nathan & Lewis Securities, INC. in New York City. In 1992, Dorion started working for LPL Financial LLC out of Killington, Vermont.<\/p>\n

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

Churning and aggressive trading were two allegations leveled against the Vermont broker In July of 2016, the Financial Industry Regulatory Authority (FINRA) sent a letter out to broker Paul Dorion letting him know that he was being suspended due to a number of allegations. Dorion had until October to supply FINRA with more information in […]<\/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-2631","post","type-post","status-publish","format-standard","hentry","category-finra-arbitration","tag-finra"],"yoast_head":"\nFINRA has Permanently Barred LPL Financial Broker Paul Dorion — Securities Arbitration Lawyers Blog — January 4, 2017<\/title>\n<meta name=\"description\" content=\"Check out the new article FINRA has Permanently Barred LPL Financial Broker Paul Dorion 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\" href=\"https:\/\/www.silverlaw.com\/blog\/finra-permanently-barred-lpl-financial-broker-paul-dorion\/\" \/>\n<meta name=\"twitter:card\" 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