2023077756701 Derek Lee Copeland CRD 4347572 AWC vr.pdf

From March 2020 to January 2023, Copeland participated in 74 private securities transactions without providing prior written notice to his firm. Copeland recommended the securities to 27 individuals, most of whom were LPL customers. Collectively, the customers invested nearly $11 million in 19 securities to fund real estate development projects and investments in other businesses.

Anonymous Comment On Regulatory Notice 25-05

I've been securities licensed for about two decades and thrilled to hear about this proposal to Simplify Requirements Regarding Associated Persons’ Outside Activities. I can't remember a single client ask me about any of my listed OBAs (they are not securities related) or any colleagues OBAs.


I work with an advisor who filed bankruptcy and that's no longer available for clients to see. When it was available, clients asked me about his bankruptcy and didn't want him to be their advisor.


20110270056-Lek-Securities-SEC-20250306.pdf

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 102533 / March 6, 2025 Admin. Proc. File No. 3-16424 In the Matter of the Application of LEK SECURITIES CORPORATION For Review of Disciplinary Action Taken by NEW YORK STOCK EXCHANGE, INC. OPINION OF THE COMMISSION REGISTERED SECURITIES EXCHANGE— REVIEW OF DISCIPLINARY PROCEEDINGS Member firm of registered securities exchange appeals from disciplinary action taken by exchange.
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