Articles Posted in FINRA rule 8210

FINRA has barred stockbroker Christopher B. Black from the securities industry.  FINRA handed down the expulsion because Mr. Black refused to provide information and documents connected with FINRA’s investigation into whether Mr. Black entered into undisclosed loan arrangements with a customer.  Mr. Black was a financial advisor at LPL Financial…

**Update: June 2, 2021**  The Securities and Exchange Commission (“SEC”) has charged James Couture with defrauding investors.   The former LPL Financial broker-dealer and investment advisor allegedly defrauded his clients for about $2.9 million.  According to the SEC’s complaint, from approximately 2009 to December 2019, Mr. Couture, while operating an investment…