LPL Financial Investor Files Complaint Indicating Bosch Misused Funds Instead, Bosch executed a Letter of Acceptance, Waiver and Consent, agreeing not to contest FINRA’s findings of him being non-cooperative in violation of FINRA rules. However, when FINRA asked Bosch for his documents and information, Bosch’s lawyer told FINRA that Bosch would not oblige. Those institutions claimed that Bosch gave at least 1 client a false account document in an effort to conceal his deposit of the client’s funds into Bosch’s own bank account.įINRA suspected Bosch may have converted clients’ funds, and began investigating Bosch as a result. FINRA Bars Edward Bosch For Refusing To TestifyĮvidently, LPL Financial and IFP disaffiliated with Edward Bosch because he allegedly misappropriated funds. On top of barring Bosch, Kentucky Department of Financial Institutions imposed a $60,000 fine. Kentucky Department of Financial Institution alleged that Bosch misappropriated more than $65,000 from at least two clients in violation of Kentucky Revised Statute 292.320. The Order dated Mashows that Bosch admitted to improperly depositing his clients’ funds in his own account. Kentucky Department of Financial Institutions issued a Final Order barring LPL Financial securities broker and Independent Financial Partners ('IFP') Advisors representative Edward Bosch (CRD#: 1127469, Florence, Kentucky). K entucky Department Of Financial Institutions Bars Edward Bosh

Ed bochs new name