Brokerage industry self-regulator Finra has barred Christopher J. Carpenter, a former Major League Baseball pitcher who became a financial advisor, from the industry for allegedly failing to provide information relating to an investigation of unauthorized real estate investments.
Carpenter, who had been registered as a broker and an investment advisor since 2016, left LPL Financial in February of this year. In its filing with Finra documenting Carpenter’s termination, LPL said it had been reviewing Carpenter’s “alleged participation…
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