Articles Tagged with Laura Shean

AdobeStock_112465076-1-300x164The Financial Industry Regulatory Authority (FINRA) barred former LPL broker Laura Shean from the industry for allegedly converting approximately $124,000 in customer funds between March 2017 and October 2017. Shean allegedly made tax payments for her own benefit to the IRS by improperly directing the IRS to debit funds from a customer’s brokerage account. The payments totaled $124,000. This resulted in a permanent bar from the industry by FINRA. Shean was previously registered with Merrill Lynch in New York, New York from March 1996 until March 1999, and LPL in Medford, Oregon from March 1999 until November 2017. She has one customer dispute against her, one regulatory pending matter, one investigation and one employment separation after allegations. She is not currently registered as a broker.

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