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LPL Financial Fined Up To $26 Million for Unregistered Securities Sales

On May 2, 2018, the North American Securities Administrators Association (NASAA)—the association of state, Canada, Mexico, and U.S. territory securities regulators—announced a settlement with LPL Financial LLC.  The settlement between the NASAA and LPL requires LPL to offer to repurchase certain unregistered securities it sold investors since October 2006 and to pay civil penalties that

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Kevin Wanner Pleads Guilty to Federal Charges for his $3 Million Ponzi Scheme Defrauding North Dakota Residents

According to the Bismarck Tribune, former stockbroker Kevin Wanner pled guilty in March 2018 to federal mail fraud and money laundering charges.  Investors who lost money to Wanner may still have recovery options. Charges against Wanner stem from his Ponzi scheme that allegedly bilked 66 North Dakota investors out of more than $3 million. Wanner

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