ARNOLD MARK AXELROD is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 4764 FULTON ST E #201, ADA, MI, 49301-9086.
ARNOLD MARK AXELROD has worked at LPL FINANCIAL LLC since August 16, 2017
Disclosure History
ARNOLD MARK AXELROD has 1 Disclosure Event(s).
Date: October 31, 1974 Category: Regulatory Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Resolution: Decision SanctionDetails: Sanctions: Censure Broker Comment: NAMED WERE SOMERSET EQUITIES CORPORATION, T.J.MCLAUGHLIN, PRESIDENT AND AMA. I WAS A MINORITY STOCKHOLDER ATTHE TIME (LESS THAN 5%) AND HAD NO REAL CONTROL OVER COMPANYAFFAIRS. I MAINTAINED THAT I SHOULD NOT HAVE THE SAME DEGREE OFACCOUNTABILITY AS THE PRESIDENT AND MAJORITY SHAREHOLDER SINCEI WAS SIMPLY NOT ABLE TO CONTROL THE SITUATION BECAUSE OF THEEXPENSE ONLY THE PENALTY AND NOT THE ORIGINAL DECISION WASARGUED.
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