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LPL Financial

Investor Alert – James Bylenga and LPL Financial

Investor Alert – James Bylenga and LPL Financial

James Bylenga of Kalamazoo, Michigan was recently sanctioned by state securities regulators and brokerage industry self-regulator, FINRA, for allegedly making unauthorized withdrawals of at least $175,000 from customer accounts, then misrepresenting that the customers had authorized the withdrawals as loans. The regulators determined that Bylenga engaged in an act, practice,…

Investor Alert – Steve Case, LPL Financial, and FSC Securities Corporation

Investor Alert – Steve Case, LPL Financial, and FSC Securities Corporation

Stockbroker Steve Case of LPL Financial in Bloomfield Hills, Michigan is involved in a legal dispute with a customer who alleges that Case recommended alternative investments, specifically Real Estate Investment Trusts, that were unsuitable for the customer. Case was previously registered with FSC Securities Corporation, and before that with National Planning…

Investor Alert – Don Woods, LPL Financial, and Thurston Springer Financial

Investor Alert – Don Woods, LPL Financial, and Thurston Springer Financial

Stockbroker Don Woods of Louisville, Kentucky is involved in legal disputes with at least 3 current or former customers who allege that he made unsuitable investment recommendations relating to alternative investments. Four prior disputes were settled. The alleged misconduct took place while Woods was registered with brokerage firms LPL Financial or Thurston…