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Cecil Ross: Investor Received $100,000 Award in Complaint Against LPL Rep

Cecil Ross

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 4, 2018 indicate that Texas-based LPL Financial broker/adviser Cecil Ross has received a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Ross (CRD# 2391047).

Cecil Ross has spent 24 years in the securities industry and has been registered with LPL Financial in San Angelo, Texas since 2014. Previous registrations include Raymond James Financial Services in San Angelo, Texas (2004-2014); Edward Jones in St. Louis, Missouri (1997-2004); Merrill Lynch in New York, New York (1995-1997); and Edward D. Jones & Company in St. Louis, Missouri (1993-1995). He has passed seven securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on July 24, 2007; Series 65 (Uniform Investment Adviser Law Examination), which he obtained on February 20, 1996; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 31, 1993; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on December 22, 1993; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on November 30, 2004; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on October 25, 2004. He is a registered broker and investment adviser with 13 US states and territories: Alabama, Arizona, Arkansas, California, Colorado, Georgia, New Mexico, North Carolina, Oklahoma, Texas, Virginia, Washington, and Wyoming.

According to his BrokerCheck report, he has received one customer complaint and one customer complaint that was denied.

In 2014 a customer alleged Cecil Ross, while employed at Raymond James Financial Services, recommended unsuitable variable annuity investments and executed excessive trades in the customer’s account the complaint resulted in an award to the customer in 2015 of $100,000.

In 1999 a customer alleged Cecil Ross, while employed at Edward Jones, gave erroneous advice that incurred a tax liability and recommended an unsuitable funds transfer. The customer sought unspecified damages in the complaint, which was denied.

If you or someone you know has lost money investing with Cecil Ross, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.

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