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NEW HAMPSHIRE BUREAU OF SECURITIES REGULATION v. LPL FINANCIAL, LLC

Civil No. 15-cv-156-JD, Opinion No. 2015 DNH 152.

New Hampshire Bureau of Securities Regulation v. LPL Financial, LLC

United States District Court, D. New Hampshire.

August 4, 2015.

Attorney(s) appearing for the Case

NH Bureau of Securities Regulation, Plaintiff, represented by Adrian LaRochelle , NH Bureau of Securities Regulation, Jeffrey D. Spill , NH Bureau of Securities Regulation & Stephen G. LaBonte , NH Attorney General's Office.

LPL Financial LLC, Defendant, represented by Dustin M. Lee , Shaheen & Gordon (Concord), Jack W. Pirozzolo , Sidley Austin LLP (MA), John Nichols , Sidley Austin LLP (ME) & Steven M. Gordon , Shaheen & Gordon (Concord).

ORDER

The New Hampshire Bureau of Securities Regulation ("Bureau") initiated an adjudicative proceeding under the New Hampshire Securities Act, RSA chapter 421-B, with a "Notice of Order," served on LPL Financial, LLC. LPL removed the action to this court under 28 U.S.C. § 1441(a) and §...

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