Joseph Likens; LPL Financial; Selling Away Accusations

Stoltmann Law Offices is investigating Joseph Likens, a former LPL Financial broker. Likens has been permanently barred by the Financial Industry Regulatory Authority (FINRA) from acting as a broker or otherwise associating with firms that sell securities to the public. Likens was accused of allegations that he violated firm policy regarding trading away and unreported holdings. This is sometimes referred to as “selling away,” and is when a broker solicits, purchases or sells a security not offered by his member firm. It is against securities rules and regulations. Please call our securities law offices today if you lost money because of Joseph Likens. We may be able to bring a legal claim against his former firm, LPL Financial, for not properly supervising him while he was registered there. Please call today.

Likens was registered with Edward Jones, Prudential Securities, Wachovia Securities, Morgan Stanley, Merrill Lynch and LPL Financial in Des Peres, Missouri from January 2015 until May 2015. He has one customer dispute against him and is not licensed. FINRA has permanently barred him from the industry.

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