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LPL Discharges William Wimberley Over Outside Business Activity Allegations

William Wimberley

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 13, 2018 indicate that former Mississippi-based LPL Financial broker William Wimberley, who is currently registered as an investment adviser with W.A. Wimberley & Associates, was discharged from a former employer in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Wimberley (CRD# 1157038).

William Wimberley has spent 34 years in the securities industry and has been registered as an investment adviser with W.A. Wimberley & Associates in Jackson, Mississippi since 2007. His previous registrations include LPL Financial in Jackson, Mississippi (2008-2018); Raymond James Financial Services in Jackson, Mississippi (1983-2008); Park Avenue Securities in New York, New York (1999-2004); and Guardian Investor Services Corporation in New York, New York (1997-1999). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on April 28, 2003; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 6, 1988; Series 7 (General Securities Representative Examination), which he obtained on September 17, 1983; and Series 24 (General Securities Principal Examination), which he obtained on March 13, 1989. He is currently not registered as a broker with any state or firm.

According to his BrokerCheck report, he has received one customer complaint that was closed and he was discharged from one of his former employers in connection to alleged rule violations.

In August 2018 he was terminated from his position at LPL Financial in connection to allegations he violated firm policy regarding participation in outside business activities.

In 1998 a customer alleged William Wimberley, while employed at Guardian Investor Services Corporation and Raymond James Financial Services, wrongfully sold an insurance policy and invested in “too many different mutual funds” resulting in excessive commissions. The customer sought $30,000 in damages in the complaint, that was closed with no action taken.

If you or someone you know has lost money investing with William Wimberley, 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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