February 3, 2017
Ronald Siemon a/k/a Ron Siemon (CRD# 1488312), formerly associated with LPL Financial LLC (LPL) in Albuquerque, New Mexico, entered into a Letter of Acceptance, Waiver and Consent (AWC) to resolve allegations FINRA made against him regarding violations of securities industry rules. According to the allegations contained in the FINRA AWC, FINRA made several attempts to obtain documents and information from Siemon regarding a customer complaint, pursuant to FINRA 8210. Siemon allegedly refused to provide FINRA with the information it requested, thus according to FINRA violated FINRA Rules 8210 and 2010.
By signing this AWC, Siemon consented, without admitting or denying the allegations made against him by FINRA, to a bar from associating with any FINRA member in any capacity.
Talk to an Experienced Attorney Today
Call and speak to one of our attorneys* for a no-cost consultation to discuss your situation, answer your questions, and help you determine the next steps. This call usually takes about 15 minutes, but we are happy to talk to you as long as you would like!
Quick Review of Your Paperwork
If we think you might have a case, we will need to review a few basic documents. If we determine you have a case, then you will have the option to hire us as your attorneys to pursue it.
Signed Attorney/Client Agreement
If you decide to hire us to pursue your case, we will have you sign an attorney-client agreement so we can begin the process of trying to recover your losses.*
*In the vast majority of cases, our agreement is contingent – meaning you won’t owe us any money unless we recover money for you.