BrokerCheck Report

RANDALL SHANE BOULEY

CRD# 2426366
Report #40641-24104, data current as of Friday , September 06 , 2013 .

Section Title
Report Summary Broker Qualifications Registration and Employment History Disclosure Events

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About BrokerCheck BrokerCheck offers information on all current-and many former-FINRA-registered secu rities brokers , and all current and former FINRA-registered securities firms . FINRA strongly encou rages investors to use BrokerCheck to check the background of securities brokers and brokerage firms before deciding to conduct, or continue to conduct, business with them. What is included in a BrokerCheck report? BrokerCheck reports for individual brokers include information such as employment history, professional qualifications, disciplinary actions, criminal convictions , civil judgments and arbitration awards. BrokerCheck reports for brokerage firms include information on a firm 's profile, history, and operations , as well as many of the same disclosure events mentioned above. Please note that the information contained in a BrokerCheck report may include pending actions or allegations that may be contested , unresolved or unproven . In the end , these actions or allegations may be resolved in favor of the broker or brokerage firm , or concluded through a negotiated settlement with no admission or finding of wrongdoing . Where did this information come from? The information contained in BrokerCheck comes from FINRA's Central Registration Depository , or CRD and is a combination of: o information FINRA and/or the Securities and Exchange Commission (SEC) require brokers and brokerage firms to submit as part of the registration and licensing process, and o information that regulators report regarding disciplinary actions or allegations against firms or brokers. How current is this information? Generally, active brokerage firms and brokers are required to update their professional and disciplinary information in CRD within 30 days. Under most circumstances , information reported by brokerage firms , brokers and regulators is available in BrokerCheck the next business day. What if I want to check the background of an investment adviser firm or investment adviser representative? To check the background of an investment adviser firm or representative , you can search for the firm or individual in BrokerCheck. If your search is successful , click on the link provided to view the available licensing and registration information in the SEC 's Investment Adviser Public Disclosure (IAPD) website at http://www.adviserinfo.sec.gov. In the alternative, you may search the IAPD website directly or contact your state securities regulator at http://www.nasaa.org. Are there other resources I can use to check the background of investment professionals? FINRA recommends that you learn as much as possible about an investment professional before deciding to work with them . Your state securities regulator can help you research brokers and investment adviser representatives doing business in your state.

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RANDALL S. BOULEY
CRD# 2426366
Currently employed by and registered with the following FINRA Firm(s): LPL FINANCIAL LLC 2638 MUIRFIELD ZACHARY, LA 70791 CRD# 6413 Registered with this firm since: 12/17/2010

Report Summary for this Broker

This report summary provides an overview of the broker's professional background and conduct. Additional information can be found in the detailed report.

Broker Qualifications
This broker is registered with:
1 Self-Regulatory Organization 5 U.S. states and territories Is this broker currently suspended or inactive with any regulator? No

Disclosure Events
Disclosure events are certain criminal matters; regulatory actions; civil judicial proceedings ; customer complaints , arbitrations, or civil litigations; employment terminations ; and financial matters in which the broker has been involved . Are there events disclosed about this broker? Yes

This broker has passed:

0 Principal/Supervisory Exams 2 General Industry/Product Exams 2 State Securities Law Exams

The following types of disclosures have been reported: Type

Customer Dispute

Registration History
This broker was previously registered with FINRA at the following brokerage firms :

Count

PROEQUITIES, INC. CRD# 15708 ZACHARY, LA 11/2000 - 12/2010 NYLIFE SECURITIES INC. CRD# 5167 NEW YORK, NY 1111993 - 11/2000

Investment Adviser Representative Information

This individual is registered as a broker and an investment adviser representative . For more information about this individual's record as an investment adviser representative , visit SEC's Investment Adviser Public Disclosure website at: http ://www.adviserinfo.sec.gov

2013 FINRA. All rights reserved.

Report# 40641-24104 about RANDALL S. BOULEY. Data current as of Friday, September 06 , 2013.

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Broker Qualifications
Registrations
This section provides the self-regulatory organizations (SROs) and U.S . stateslterritories the broker is currently registered and licensed with, the category of each registration, and the date on which the registration became effective. This section also provides , for every brokerage firm with which the broker is currently employed, the address of each branch where the broker works. This individual is currently registered with 1 SRO and is licensed in 5 U.S. states and territories through his or her employer.

Em ployment 1 of 1
Firm Name:

LPL FINANCIAL LLC

Main Office Address: 75 STATE STREET, 24TH FLOOR BOSTON, MA 02109 Firm CRD#: 6413

SRO
FINRA FINRA

Category
General Securities Representative Invest. Co and Variable Contracts

Status
APPROVED APPROVED

Date
12/17/2010 12/17/2010

U.S. State! Territory

Alabama Colorado Louisiana Mississippi Texas

Category
Agent Agent Agent Agent Agent

Status
APPROVED APPROVED APPROVED APPROVED APPROVED

Date
11/12/2012 10/14/2011 12/17/2010 12/17/2010 12/17/2010

Branch Office Locations

LPL FINANCIAL LLC 2638 MUIRFIELD ZACHARY, LA 70791

2013 FINRA. All rights reserved.

Report# 40641-24104 about RANDALL S. BOULEY. Data current as of Friday, September 06 , 2013.

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Broker Qualifications

Industry Exams this Broker has Passed

This section includes all securities industry exams that the broker has passed . Under limited circumstances , a broker may attain a registration after receiving an exam waiver based on exams the broker has passed and/or qualifying work experience. Any exam waivers that the broker has received are not included below. This individual has passed 0 principal/supervisory exams, 2 general industry/product exams, and 2 state securities law exams.

Principal/Supervisory Exams
Exam No information reported . Category Date

General Industry/Product Exams

Exam Investment Company ProductsNariable Contracts Representative Examination General Securities Representative Examination Category Series 6 Series 7 Date 11/23/1993 02/23/2005

State Securities Law Exams

Exam Uniform Securities Agent State Law Examination Uniform Investment Adviser Law Examination Category Series 63 Series 65 Date 11/26/1993 10/11/2001

Additional information about the above exams or other exams FINRA administers to brokers and other securities professionals can be found at www.finra.org/brokerqualifications/registeredrep/.

201 3 FINRA. All rights reserved.

Report# 40641 -241 04 about RANDALL S. BOULEY. Data current as of Friday, September 06, 201 3.

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Registration and Employment History

Registration History
This broker previously was registered with FINRA at the following firms: Registration Dates
11/2000 -12/2010 11/1993 -11/2000

Firm Name PROEQUITIES , INC . NYLIFE SECURITIES INC.

CRD# 15708 5167

Branch Location ZACHARY, LA NEW YORK, NY

Employment History
Below is the broker's employment history for up to the last 10 years . Please note that the broker is required to provide this information only while registered with FINRA and the information is not updated after the broker ceases to be registered. Therefore, an employment end date of "Present" may not reflect the broker's current employment status. Employment Dates
12/2010 - Present 11/2000 - 12/2010

Employer Name LPL FINANCIAL PROEQUITIES , INC .

Employer Location ZACHARY, LA ZACHARY, LA

Other Business Activities

This section includes information , if any , as provided by the broker regarding other business activities the broker is currently engaged in either as a proprietor, partner, officer, director, employee, trustee, agent or otherwise. This section does not include non-investment related activity that is exclusively charitable, civic, religious or fraternal and is recognized as tax exempt.
1.12/17/2010 - REAL ESTATE RENTAL, 1% OF TIME , THIS IS A TRAILER HOME THAT EXIST ON SME PROPERTY I OWN. I PURCHASED THE PROPERTY FOR THE LAND , NOT THE HOUSE THAT EXIST ON IT. I AM HOLDING THIS PROPERTY AS AN INVESTMENT. THE HOME IS VACANT MOST OF THE TIME. 2. 12/17/2010 - REAL ESTATE RENTAL, I PURCHASED THE PROPERTY FOR THE LAND , NOT THE HOUSE THAT EXIST ON IT. I AM HOLDING THIS PROPERTY AS AN INVESTMENT. THE HOME IS VACANT MOST OF THE TIME. 1% OF TIME . 3.12/17/2010 - REAL ESTATE RENTAL, I PURCHASED THE PROPERTY FOR THE LAND , NOT THE HOUSE THAT EXIST ON IT. I AM HOLDING THIS PROPERTY AS AN INVESTMENT. THE HOME IS VACANT MOST OF THE TIME. 1% OF TIME. 4.12/17/2010 - DBA ONLY , THE LEGACY PLANNING GROUP , LLC. 5. 07/27/2011-ADVISOR WILL SERVE AS AND INVESTMENT ADVISOR REPRESENTATIVE UNDER INDEPENDENT FINANCIAL PARTNERS RIA. ACTIVITIES MAY INCLUDE FINANCIAL PALNNING , RENDERING INVESTMENT ADVICE FOR A FEE, OR OTHER RELATED FINANCIAL CONSULTING-INDEPENDENT FINANCIAL PARTNERS-REGISTERED INVESTMENT ADVISOR-TIME SPENT 5%-ANNUAL INCOME 12,000

2013 FINRA. All rights reserved.

Report# 40641 -241 04 about RANDALL S. BOULEY. Data current as of Friday, September 06 , 2013 .

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User Guidance

Disclosure Events

What you should know about reported disclosure events: 1. Disclosure events are certain criminal matters; regulatory actions ; civil judicial proceedings; customer complaints , arbitrations, or civil litigations; employment terminations ; and financial matters in which the broker has been involved . 2. Certain thresholds must be met before an event is reported to CRD, for example: o A law enforcement agency must file formal cha rges before a broker is requi red to report a particular criminal event. o A customer dispute must involve allegations that a broker engaged in activity that violates certain rules or conduct governing the industry and that the activity resulted in damages of at least $5 ,000 . 3. Disclosure events in BrokerCheck reports come from different sources: o As mentioned at the beginning of this report, information contained in BrokerCheck comes from brokers, brokerage firms and regulators. When more than one of these sources reports information for the same disclosure event, all versions of the event will appear in the BrokerC heck report. The different versions will be separated by a solid line with the reporting source labeled . 4. There are different statuses and dispositions for disclosure events: o A disclosure event may have a status of pending, on appeal, or final. A "pending" disclosure event involves allegations that have not been proven or formally adjudicated . A disclosure event that is "on appeal" involves allegations that have been adjudicated but are currently being appealed . A "final" disclosure event has been concluded and its resolution is not subject to change . o A final disclosure event generally has a disposition of adjudicated, settled or otherwise resolved. An "adjudicated" matter includes a disposition by (1 ) a court of law in a criminal or civil matter, or (2) an administrative panel in an action brought by a regulator that is contested by the party charged with some alleged wrongdoing . A "settled" matter generally represents a disposition wherein the parties involved in a dispute reach an agreement to resolve the matter. Please note that brokers and brokerage firms may choose to settle customer disputes or regulatory matters for business or other reasons. A "resolved" matter usually includes a disposition wherein no payment is made to the customer or there is no finding of wrongdoing on the part of the individual broker. Such matters generally involve customer disputes.

For your convenience, below is a matrix of the number and status of disclosure events involving this broker. Further information regarding these disclosure events can be found in the subsequent pages of this report. You also may wish to contact the broker to obtain further information regarding the disclosure events.

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Report# 40641-241 04 about RA NDALL S. BOULEY. Data current as of Friday, September 06 , 201 3.

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User Guidance

Pending

Final

On Appeal N/A

Customer Dispute

2013 FINRA. All rights reserved.

Report# 40641-24104 about RANDALL S. BOULEY. Data current as of Friday, September 06, 2013 .

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Disclosure Event Details

When evaluating this information , please keep in mind that a discloure event may be pending or involve allegations that are contested and have not been resolved or proven. The disclosure event may , in the end, be withdrawn , dismissed, resolved in favor of the broker, or concluded through a negotiated settlement for certain business reasons (e.g., to maintain customer relationships or to limit the litigation costs associated with disputing the allegations) with no admission or finding of wrongdoing . This report provides the information exactly as it was reported to CRD and therefore some of the specific data fields contained in the report may be blank if the information was not provided to CRD.

Customer Dispute - Closed-No Action/Withdrawn/Dismissed/Denied

This type of disclosure event involves (1) a consumer-initiated , investment-related arbitration or civil suit containing allegations of sales practice violations against the individual broker that was dismissed , withdrawn , or denied ; or (2) a consumer-initiated , investment-related written complaint containing allegations that the broker engaged in sales practice violations resulting in compensatory damages of at least $5 ,000 ; forgery, theft, or misappropriation ; or conversion of funds or securities that was closed without action , withdrawn , or denied.

Disclosure 1 of 1 Reporting Source: Employing firm when activities occurred which led to the complaint: Allegations:
Firm NYLIFE SECURITIES INC .

THE CUSTOMER ALLEGES SHE GAVE RR BOULEY $1 ,000 TO BE APPLIED TO HER VARIABLE ANNUITY THAT WAS NOT REFLECTED IN HER ACCOUNT STATEMENT. THE CUSTOMER FURTHER ALLEGES SHE RECEIVED $600 FROM RR BOULEY. THE CUSTOMER FURTHER ALLEGES RR BOULEY REPLACED THE BENEFICIARIES ON HER LAST WILL AND TESTAMENT WITH HIMSELF . Annuity(ies) - Variable

Product Type: Alleged Damages:

$400.00

Customer Complaint Information

Date Complaint Received: Complaint Pending? Status: Status Date: Settlement Amount:
2013 FINRA. All rights reserved. Report# 40641-24104 about RANDALL S. BOULEY. Data current as of Friday, September 06 , 2013.
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03/21/2001
No Withdrawn

03/29/2001

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Individual Contribution Amount: Summary:

THE CUSTOMER HAS WITHDRAWN HER COMPLAINT.

Reporting Source: Employing firm when activities occurred which led to the complaint: Allegations:

Broker NYLIFE SECURITIES, INC .

THE CUSTOMER ALLEGES SHE GAVE REP $1 ,000 TO BE APPLIED TO HER VARIABLE ANNUITY THAT WAS NOT REFLECTED IN HER ACCOUNT STATEMENT. Annuity(ies) - Variable $400 .00

Product Type : Alleged Damages:

Customer Complaint Information

Date Complaint Received: Complaint Pending? Status: Status Date: Settlement Amount: Individual Contribution Amount: Summary:
THE CUSTOMER HAS WITHDRAWN THE COMPLAINT. COMPLAINT WAS SENT TO NYLIFE. NEITHER REP NOR PROEQUITIES RECEIVED A COPY OF THE COMPLAINT TO REPORT ON CRD. 03/21/2001 No Withdrawn 03/29/2001

201 3 FINRA. All rights reserved .

Report# 40641-24104 about RANDALL S. BOULEY. Data current as of Frida y, September 06, 201 3.

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Customer Dispute - Pending

This type of disclosure event involves (1) a pending consumer-initiated, investment-related arbitration or civil suit that contains allegations of sales practice violations against the broker; or (2) a pending , consumer-initiated , investmentrelated written complaint containing allegations that the broker engaged in , sales practice violations resulting in compensatory damages of at least $5,000 ; forgery, theft, or misappropriation ; or conversion of funds or securities. Disclosure 1 of 2

Reporting Source: Employing firm when activities occurred which led to the complaint: Allegations:

Firm PROEQUITIES , INC

CLAIMANT ALLEGES THAT, IN/ABOUT 2005/2007, RESPONDENTS (THE RR AND PROEQUITIES , INC) WRONGLY RECOMMENDED AND CAUSED CLAIMANT TO INVEST IN NON-TRADABLE REITS WHICH CANNOT BE LIQUIDATED AND THAT HAVE LOST VIRTUALLY ALL OF THEIR VALUE. CLAIMANT FURTHER SITES BREACH OF FIDUCIARY DUTY, NEGLIGENCE, BREACH OF CONTRACT, FAILURE TO SUPERVISE , CONTROL PERSON LlABLILlTY, UNSUITABILITY, MISREPRESENTATION AND OMISSIONS , AND VIOLATION OF FINRA CONDUCT RULES. Real Estate Security $589,651.00 CLAIMANTS ASKS FOR DAMAGES OF $364651 FOR [CUSTOMER]; $225000 FOR [CUSTOMER] FOR THE INTERDICT, [CUSTOMER] ;REFUND OF COMMISSIONS AND CHARGES TO BOTH CLAIMANTS; PUNITIVE DAMAGES ; INTEREST ON THE FOREGOING AMOUNT , TOGETHER WITH ATTORNEYS FEES , ARBITRATION COSTS , OTHER RELIEF AS DEEMED JUST AND PROPER BY THE ARBITRATION PANEL. No No Yes FINRA DISPUTE RESOLUTION ARBITRATON

Product Type: Alleged Damages: Alleged Damages Amount Explanation (if amount not exact):

Is this an oral complaint? Is this a written complaint? Is this an arbitration/CFTC reparation or civil litigation? Arbitration/Reparation forum or court name and location: Docket/Case #: Filing date of arbitration/CFTC reparation or civil litigation:
2013 FINRA. All rights reserved.

13-01081 04/15/2013

Report# 40641-241 04 about RANDALL S. BOULEY. Data current as of Friday, September 06 , 2013.

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Customer Complaint Information

Date Complaint Received: Complaint Pending? Status: Status Date: Settlement Amount: Individual Contribution Amount: 04/26/2013 No Evolved into Arbitration/CFTC reparation (the individual is a named party) 04/15/2013

Arbitration Information
Arbitration/CFTC reparation claim filed with (FINRA, AAA , CFTC, etc.): Docket/Case #: Date Notice/Process Served: Arbitration Pending? Summary : FINRA DISPUTE RESOLUTION ARBITRATON

13-01081 04/15/2013 Yes THE FIRM IS CURRENTLY INVESTIGATING THIS CLAIM AND THEREFORE DOES NOT HAVE A COMMENT AT THIS TIME. PLEASE DISREGARD SECTION 7-11 AS IT WAS COMPLETED IN ERROR. RR WAS NAMED IN THIS EVENT.

Reporting Source: Employing firm when activities occurred which led to the complaint: Allegations:

Broker PROEQUITIES , INC .

CLAIMANT ALLEGES THAT, IN/ABOUT 2005/2007 , RESPONDENTS (THE RR AND PROEQUITIES , INC .) WRONGLY RECOMMENDED AND CAUSED CLAIMANT TO INVEST IN NON-TRADABLE REITS WHICH CANNOT BE LIQUIDATED AND THAT HAVE LOST VIRTUALLY ALL OF THEIR VALUE . CLAIMANT FURTHER SITES BREACH OF FIDUCIARY DUTY, NEGLIGENCE , BREACH OF CONTRACT, FAILURE TO SUPERVISE , CONTROL PERSON LIABILITY, UNSUITABILITY, MISREPRESENTATION AND OMISSIONS , AND VIOLATION OF FINRA CONDUCT RULES. Real Estate Security $589 ,651.00
Report# 40641-24104 about RA NDALL S. BOULEY. Data current as of Frid ay, September 06, 20 13. 10

Product Type: Alleged Damages:

2013 FIN RA. All rights reserved .

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Alleged Damages Amount Explanation (if amount not exact):

CLAIMANTS ASK FOR DAMAGES OF $364 ,651 FOR ONE CLAIMANT ; $225,000 FOR OTHER CLAIMANT; REFUND OF COMMISSIONS AND CHARGES TO BOTH CLAIMANTS ; PUNITIVE DAMAGES ; INTEREST ON THE FOREGOING AMOUNT , TOGETHER WITH ATTORNEY FEES, ARBITRAITON COSTS, OTHER RELIEF AS DEEMED JUST AND PROPER BY THE ARBITRATION PANEL.

Arbitration Information
Arbitration/CFTC reparation claim filed with (FINRA, AAA, CFTC , etc.): Docket/Case #: Date Notice/Process Served: Arbitration Pending? Summary: FINRA

13-01081 04/26/2013 Yes THE FIRM IS CURRENTLY INVESTIGATION THIS CLAIM .

Disclosure 2 of 2 Reporting Source: Employing firm when activities occurred which led to the complaint: Allegations: Firm PROEQUITIES , LLC

CLAIMANTS ALLEGE THE MISHANDLING OF THEIR ACCOUNTS AND VARIOUS INVESTMENTS BY A PRIOR RR (SUBJECT OF) OF THE FIRM . CLAIM INCLUDES , BUT IS NOT LIMITED TO, VIOLATION OF FLORIDA SECURITIES ACT ; COMMON LAW FRAUD AND MISREPRESENTATION ; BREACH OF FIDUCIARY DUTY; AND NEGLIGENCE/BREACH OF INDUSTRY RULES. Equipment Leasing Oil & Gas Real Estate Security $1 ,500 ,000 .00 STATEMENT OF CLAIM DEMANDS COMPENSATORY AND RESCISSION DAMAGES OF AT LEAST $1 ,500 ,000 ; PLUS ALL OF THE CLAIMANTS' COSTS, EXPENSES , AND DISBURSEMENTS , INCLUDING ATTORNEYS ' FEES ASSOCIATED WITH ARBITRATION ; PRE-AWARD AND POST-AWARD INTEREST (WITH PRE-AWARD INTEREST BEING CALCULATED IN ACCORDANCE WITH FLORIDA LAW) ;SUCH OTHER RELIEF AS THE PANEL DEEMS APPROPRIATE, INCLUDING SIGNIFICANT PUNITIVE DAMAGES.
Report# 40641 -24104 about RANDALL S. BOULEY. Data current as of Frida y, September 06, 20 13. 11

Product Type:

Alleged Damages: Alleged Damages Amount Explanation (if amount not exact):

2013 FIN RA. All rights reserved.

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Is this an oral complaint? Is this a written complaint? Is this an arbitration/CFTC reparation or civil litigation? Arbitration/Reparation forum or court name and location: Docket/Case #: Filing date of arbitration/CFTC reparation or civil litigation:

No Yes Yes FINRA 12-03770

10/30/2012

Customer Complaint Information

Date Complaint Received: Complaint Pending? Settlement Amount: Individual Contribution Amount:
11/19/2012

Yes

................. .... .... .... ... ...................................................................................... ....... .... ......

Reporting Source: Employing firm when activities occurred which led to the complaint: Allegations:
Broker PROEQUITIES , LLC

Summary:

THE FIRM IS INVESTIGATING THE MATTER AT THIS TIME .

CLAIMANTS ALLEGE THE MISHANDLING OF THEIR ACCOUNTS AND VARIOUS INVESTMENTS BY A PRIOR RR (SUBJECT OF) OF THE FIRM. CLAIM INCLUDES BUT IS NOT LIMITED TO , VIOLATION OF FLORIDA SECURITIES ACT ; COMMON LAW FRAUD AND MISREPRESENTATION ; BREACH OF FIDUCIARY DUTY, AND NEGLEGENCEIBREACH OF INDUSTRY RULES. Equipment Leasing Oil & Gas Real Estate Security $1,500 ,000.00 STATEMENT OF CLAIM DEMANDS COMPENSATORY AND RESCISSION
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Product Type:

Alleged Damages: Alleged Damages Amount

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Explanation (if amount not exact):

DAMAGES OF AT LEAST $1,500,000; PLUS ALL OF THE CLAIMANTS' COSTS, EXPENSES , AND DISBURSEMENTS , INCLUDING ATTORNEYS' FEES ASSOCIATED WITH ARBITRATION ; PRE-AWARD AND POST-AWARD INTEREST (WITH PRE-AWARD INTEREST BEING CALCULATED IN ACCORDANCE WITH FLORIDA LAW) ; SUCH OTHER RELIEF AS THE PANEL DEEMS APPROPRIATE , INCLUDING SIGNIFICANT PUNITIVE DAMAGES.

Is this an oral complaint? Is this a written complaint? Is this an arbitration/CFTC reparation or civil litigation? Arbitration/Reparation forum or court name and location: Docket/Case #: Filing date of arbitration/CFTC reparation or civil litigation:

No
Yes Yes FINRA 12-03740 10/30/2012

Customer Complaint Information

Date Complaint Received : Complaint Pending? Settlement Amount: Individual Contribution Amount: Summary:

11/19/2012 Yes

THE FIRM IS INVESTIGATING THE MATTER AT THIS TIME .

2013 FINRA. All rights reserved .

Report# 40641-24104 about RANDALL S. BOULEY. Data current as of Friday, September 06 , 201 3.

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2013 FINRA. All rights reserved .

Report# 40641-24104 about RANDALL S. BOULEY. Data current as of Friday, September 06 , 2013 .

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