Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 6, 2018 indicate that former Kansas-based LPL Financial broker/adviser Kathryn Charpie was recently discharged from her former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Charpie (CRD# 840016).
Kathryn Charpie has spent 40 years in the securities industry and was most recently registered with LPL Financial in Overland Park, Kansas (1994-2018). Previous registrations include Prudential Securities, Incorporated in New York, New York (1986-1994); EF Hutton & Company (1978-1986); and RG Dickinson & Company (1977-1978). She has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which she obtained on January 19, 1993; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on October 2, 1979; PC (AMEX Put and Call Exam), which she obtained on July 1, 1977; Series 7 (General Securities Representative Examination), which she obtained on June 18, 1977; and Series 24 (General Securities Principal Examination), which she obtained on June 15, 1994. She is currently not registered with any state or firm.
According to her BrokerCheck report, Kathryn Charpie has received one denied customer complaint and was discharged from her former employer in connection to alleged rule violations.
In February 2018 she was terminated from her position at LPL Financial following allegations she violated firm policies and procedures regarding the borrowing of money.
In 2011 a customer alleged Kathryn Charpie, while employed at LPL Financial, failed to follow instructions and acted negligently in connection with the management of the customer’s accounts. The customer sought $8,500 in damages in the complaint, which was denied.
If you or someone you know has a complaint regarding Kathryn Charpie, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup lost funds. Fitapelli Kurta accepts every case on contingency: we only get paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.