Finra Bars Ex-LPL Broker for Allegedly Stealing $1.7 Million
The Financial Industry Regulatory Authority (FINRA) has barred a former LPL Financial broker, Rudy Anguiano, from the industry. Anguiano is accused of stealing $1.7 million from two clients and funneling it into an outside business he operated. He settled the allegations without admitting or denying wrongdoing.