RICHARD E YORKE is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 9140 HAVEN AVE STE 105, RANCHO CUCAMONGA, CA, 91730-5414.
RICHARD E YORKE has worked at LPL FINANCIAL LLC since September 07, 2010
Disclosure History
RICHARD E YORKE has 1 Disclosure Event(s).
Date: May 09, 2016 Category: Customer Dispute Allegations: CUSTOMER RAISES CONCERNS WITH TAX ADVICE AND RECOMMENDATIONS ALLEGEDLY MADE AS CPA WITH CPA FIRM, IN CONNECTION WITH THE CUSTOMER'S TRANSFER AND SALE TO HER OWN CHILDREN OF STOCK IN HER FAMILY COMPANY. ACTIVITY PERIOD MARCH 2009 TO DECEMBER 2014. Settlement Amount: $14,999.00 Broker Comment: COMPLAINT RELATES TO TAX ADVICE ALLEGEDLY PROVIDED SOLELY AS CPA THROUGH ADVISOR'S CPA FIRM. ADVISOR ADAMANTLY FURTHER DENIES COMPLAINT'S ALLEGATIONS AND ALL LIABILITY THEREUNDER. INSURANCE CARRIER RESOLVED MATTER IN CONSIDERATION OF DEFENSE COSTS WITH NO INDIVIDUAL CONTRIBUTION FROM THE ADVISOR, AND MATTER WAS DISMISSED WITH PREJUDICE.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for RICHARD E YORKE, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.