Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 7, 2017 indicate that Maryland-based LPL Financial broker/adviser Gary Richman has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Richman (CRD# 726786).
Gary Richman has spent 36 years in the securities industry and has been registered with LPL Financial in Pikesville, Maryland and Rehoboth Beach, Delaware since 2005. Previous registrations include Ryan Beck & Company in Florham Park, New Jersey; Ferris Baker Watts in Baltimore, Maryland; Lehman Brothers in New York, New York; Smith Barney Harris Upham & Company; and Legg Mason Wood Walker. He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); Series 3 (National Commodity Futures Examination); and Series 24 (General Securities Principal Examination). He is a registered broker and investment adviser with 17 US states and territories: Alabama, California, Florida, Delaware, Maryland, New Jersey, New York, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, Texas, Virginia, and West Virginia.
According to his BrokerCheck report, he has received two customer complaints and one pending customer complaint.
In July 2017 a customer alleged Gary Richman, while employed at LPL Financial, executed excessive and unauthorized trades in her account. The customer is seeking $100,000 in damages in the pending complaint.
In 1999 a customer alleged Gary Richman, while employed at Ferris Baker Watts, inappropriately managed the account. The complaint settled for $500.
In 1996 a customer alleged Gary Richman, while employed at Ferris Baker Watts, breached contract, failed in his supervisory duties, acted negligently, and breached his fiduciary duty. The complaint resulted in an award to the customer of more than $41,100.
If you or someone you know has lost money investing with Gary Richman, 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.