Indemnification dispute with the insurer won’t affect their businesses, firm insistsBy Bruce Kelly At the same time that LPL Holdings Inc. and the three broker-dealers it bought from Pacific Life Insurance Co. were filing suit against the insurer, LPL was reaching out to its advisers to reassure them that the dispute wouldn’t affect their businesses.
Posts Tagged ‘Lpl Financial’
InvestmentNews — LPL Sues Pac Life Over Purchase of Broker Dealers
November 30th, 2009 
Before You Invest 
Posted in Finance Fraud 
Tags: 100 Million, Arbitration, Bill Dwyer, Breach Of Contract, Broker Dealer, Broker Dealers, Bruce Kelly, Contractual Obligations, Indemnification, Insurer, Legal Matter, Life Brokers, Life Insurance Co, Lpl Financial, Pacific Life, Pacific Life Insurance, Pacific Life Insurance Co, Sales And Marketing, Securities License, State Supreme Court 
No Comments »Former LPL Advisor Closed Down By Montana Regulator
September 30th, 2009 Before You Invest Monica Lindeen, the Montana commissioner of securities and insurance, issued a temporary stop-and-desist order Thursday against Donald Chouinard and his companies, DC Wealth Management Inc. and DC Associates Inc.Lindeen’s action, which also seeks fines and restitution with interest, follows an investigation prompted by consumer complaints.
Posted in Finance Fraud Tags: Administrative Action, Allegations, Cease And Desist Order, Chouinard, Consumer Complaints, Day Trading, Egan, Federal Authorities, Independent Broker, Investment Opportunities, Kalispell, Lpl Financial, Monica Lindeen, Phone Message, Portfolios, Restitution, State Officials, State Regulators, Unauthorized Trades, Wealth Management Inc No Comments »
