What Did Your Brokerage Firm or Investment Adviser Do Wrong With GWG
Published On: March 24, 2016

Stoltmann Law Offices is investigating Marsha Lou Samuels, a former broker with LPL Financial. According to her Financial Industry Regulatory Authority (FINRA) Letter of Acceptance, Waiver and Consent (AWC) Samuels was accused of alleged misconduct relating to borrowing money from clients and undisclosed outside business activity. Allegedly, from September 2008 until April 2009, Samuels accepted four personal loans totaling $121,000 from a firm customer. For this, she was suspended for four months and fined $5,000.

Samuels was registered with WMA Securities in Duluth, Georgia from July 1994 until June 1998, IFG Network Securities in Atlanta, Georgia from May 1998 until June 1999, Associated Securities Corp in Redwood City, Georgia from June 1999 until September 2009 and LPL in Redwood City from September 2009 until November 2013. She has one customer dispute against her.

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