Gregory Dodgson Fired by LPL Financial

Gregory Dodgson (CRD #: 69219) has been terminated by LPL Financial. This is according to his BrokerCheck record, accessed on July 15, 2024. Keep reading if you have questions regarding his alleged conduct. 

Employment Separation After Allegations 

On May 6, 2024, LPL Financial terminated Gregory Dodgson following allegations that he mismarked low-priced securities in customers’ accounts as unsolicited. 

Solicited vs. Unsolicited Trades 

Brokers are required to mark trades as either unsolicited or solicited. Solicited trades are subject to heightened scrutiny because they are recommended by the broker. Brokers who mark trades inaccurately may be attempting to evade firm supervision. 

Firm Supervision 

FINRA Rule 3110 requires that firms establish systems of supervision to maintain their compliance with securities regulations. This includes appointing supervisors and providing them with Written Supervisory Procedures (WSPs).

Background Information 

Gregory Dodgson has passed the following exams: 

• Series 63 Uniform Securities Agent State Law Examination 
• Series 7TO General Securities Representative Examination 
• SIE – Securities Industry Essentials Examination 
• Series 1 Registered Representative Examination 
• Series 24 General Securities Principal Examination 
• Series 40 Registered Principal Examination 

During his 53 years of experience, he has registered with nine firms. These are the five most recent: 

• LPL Financial (CRD #: 6413) 
• Royal Securities Company (CRD #: 10702) 
• Kent King Securities Co. (CRD #: 2424) 
• D H Brush & Associates (CRD #: 3667) 
• Robert W. Baird & Co. (CRD #: 8158) 

Kurta Law Can Help 

If you have worked with Gregory Dodgson and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.