Joseph A. Likens—Private Securities Transactions
Joseph A. Likens Allegedly Engaged in Private Securities Transactions without Permission from LPL Financial
Have you invested your hard-earned cash with Joseph A. Likens, formerly of LPL Financial?
Likens allegedly engaged in the sales of private securities transactions without permission from LPL Financial, according to according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Jason Kane and James Booker.
Likens, who worked at the Des Peres, Missouri branch of LPL Financial, previously worked with Merrill Lynch and also filed for bankruptcy in 2013, according to his FINRA BrokerCheck report.
The Peiffer Wolf Carr & Kane securities lawyers are investigating Joseph A. Likens’ alleged private transactions without permission.
Joseph A. Likens Allegedly Failed to Respond to a FINRA Investigation; Likens Barred by FINRA
Joseph A. Likens allegedly received messages from FINRA Staff on September 20th and September 25th requesting that Likens appear for on-the-record testimony pursuant to FINRA Rules, according to the aforementioned AWC currently under review by attorneys Jason Kane and James Booker.
Likens allegedly acknowledges that he received FINRA’s request and purportedly stated that he would not appear for on-the record testimony at any time, and hence, violated FINRA Rules and has been barred by FINRA, the AWC reports.
One should also note that, according to the AWC, Joseph A. Likens neither admitted nor denied the FINRA findings.
Securities Lawyers Investigating
The Peiffer Wolf Carr & Kane securities lawyers often represent investors who lose money as a result of alleged unauthorized transactions and are currently investigating Joseph A. Likens’ alleged private securities transactions without approval. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.
Investors who believe they lost money as a result of Joseph A. Likens’ alleged securities transactions without approval may contact the securities lawyers at the Cleveland office of Peiffer Wolf Carr & Kane, Jason Kane or James Booker, for a free no-obligation evaluation of their recovery options, at (585) 310-5140 or via email at firstname.lastname@example.org (for Jason Kane) or email@example.com (for James Booker).