Defendant Name:
Joseph Kirkland
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Joseph Kirkland
First Document Date
04-Apr-2023
Initial Filing Format
Administrative Action
File Number
3-21359
Allegation Type
Broker Dealer
Affiliations
- Former: Broker/Registered Representative at LPL Financial LLC (May 2017—April 2018)
- Former: Broker/Registered Representative at UnionBanc Investment Services, LLC (January 2015—May 2017)
Resolutions
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization (of unspecified duration)
- Bar from participating in any penny stock offering (of unspecified duration)
First Resolution Date
04-Apr-2023
