Former Atria Advisor Charged with Alleged $1.7M Scheme [Yahoo! Finance]
LPL Financial Holdings Inc. (LPLA)
Last lpl financial holdings inc. earnings: 4/30 04:05 pm
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Source: Yahoo! Finance
The Department of Justice has charged a former Atria advisor with defrauding clients of about $1.7 million over 17-years. Jeffrey Thomas Higgins was charged with investment fraud in Oregon federal court last week and was released pending further court proceedings. According to SEC records , Higgins registered with the industry in 2001 at Financial West Group, before joining Western International Securities, a former broker/dealer subsidiary of Atria Wealth Solutions, which was rolled up into LPL Financial in 2024. The Justice Department claimed that Higgins worked as an investment advisor in Baker City, Ore. from 2007 through June 2024, Higgins allegedly lied to clients that he'd purchased stock shares for them at deep discounts, advertising the investment plan as “low-risk yet with a high return.” In reality, Higgins purchased the shares at market value with clients' funds and repeatedly misappropriated some of the money to his own investment account. Higgins would make pur
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LPLA
Earnings
- 1/29/26 - Beat
LPLA
Sec Filings
- 4/16/26 - Form 4
- 4/15/26 - Form 144
- 4/14/26 - Form 144
- LPLA's page on the SEC website