Former LPL Broker Geno Gates Permanently Barred by FINRA
Geno Gates, a former broker at LPL Financial, was permanently barred by FINRA for failing to respond to a request by FINRA for information. Geno Gates was an LPL broker from August 2011 until December 2013 when he was terminated for violating firm policy regarding outside business activities. Prior to working at LPL, he was worked at Ameriprise Financial Services from May 2004 until August 2011.
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