State Securities Sanction

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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Mark Gregory Raezer, Ex-Taylor Capital Broker, Suspended for Selling Away

A Colorado Department of Regulatory Agencies (DORA) press release announced the state’s Division of Securities suspended Mark Gregory Raezer on January 31, 2018 for allegedly soliciting and selling unregistered securities of a company used to defraud at least 78 Colorado residents. At the time he sold the investments, Raezer was registered with brokerage firm Taylor

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