Lynn Bryant Fired from LPL Financial For Allegedly Unapproved Transactions
Lynn Bryant (CRD #: 3216344), a broker formerly registered with LPL Financial, was fired from the firm, according to her BrokerCheck record, accessed on November 11, 2022. If you have questions about his conduct as a broker, read on.
Termination from LPL Financial
On September 13, 2022, Lynn Bryant was fired from LPL Financial after allegedly participating in private securities transactions with clients without providing notice to or receiving approval from the firm.
FINRA Rule 3280
FINRA Rule 3280 requires brokers to seek approval from their firm before engaging in private securities transactions. Prior to participating in a private securities transaction, brokers are required to provide notice to their firm. If the broker is to receive compensation for their role in the transaction, the firm must approve or disapprove the broker’s participation in the transaction.
FINRA Rule 2010
FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.
Lynn Bryant has passed the following exams:
- Series 65 – Uniform Investment Adviser Law Examination
- Series 63 – Uniform Securities Agent State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 – General Securities Representative Examination
- Series 51 – Municipal Fund Securities Principal Examination
- Series 24 – General Securities Principal Examination
She previously worked for the following firms:
- LPL Financial (CRD#:6413)
- Raymond James Financial Services (CRD#:6694)
- H.D. Vest Investment Securities (CRD#:13686)
Kurta Law Can Help
If you worked with Lynn Bryant and you have concerns about your investments, please contact us today at 877-600-0098 or email@example.com for a free consultation.
For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and 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.