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Category LPL

Former LPL Financial and Private Advisor Group Broker, Norman Batansky, Supsended by FINRA For Thirty Days And Fined $7,500 For Allegedly Participating in Private Securities Transactions

November 4, 2020

Norman Batansky (CRD # 834388) is currently registered at Peak Brokerage Services, LLC in Jupiter, FL and Blackridge Asset Management, LLC in Boca Raton, FL. Norman Batansky has been in the securities industry since 1977. Norman Batansky previously worked at Private Advisor Group, LLC and LPL Financial LLC in King of Prussia, PA. Norman Batansky…

Former National Planning Corp. And LPL Financial Broker, Michael Severance, Barred By FINRA

November 30, 2019

  Michael Severance (CRD # 1023971) was a former Financial Advisor at National Planning Corp. and LPL Financial in Edina, Minnesota. Michael Severance previously worked at Voya Financial Advisors between 1981-2016. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in December 2018, LPL Financial terminated Michael Severance for “violation of…

Former LPL Financial Broker, Kerry Hoffman Sued By SEC For Selling $3.3 Million In Unregistered Securities In GT Media, Inc.

September 8, 2019

Kerry Hoffman (CRD # 1061740) was a Financial Advisor at LPL Financial in Mundelein, Illinois.  Kerry Hoffman has been in the securities industry since 1982 and previously worked at Raymond James and UBS Financial Services.  According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on July 1, 2019, the Securities Exchange…

Calton & Associates Financial Advisor, Mark T. Lamkin, Has Three Customer Complaints Alleging Sales Practice Misconduct And A Pending Regulatory Matter

July 29, 2019

Mark T. Lamkin (CRD # 42121510) is a Financial Advisor at Calton & Associates, Inc. in Louisville, KY.  Mark Lamkin has been in the securities industry since 1991 and previously worked at LPL Financial, PNC Brokerage Corp., GNA Securities, Equico Securities and The Equitable Life Assurance Society of the United States.  According to publicly available…

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