Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 2, 2018 indicate that North Carolina-based Cambridge Investment Research broker/adviser Stephanie Abee has received several customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Abee (CRD# 5888654).
Stephanie Abee has spent seven years in the securities industry and has been registered with Cambridge Investment Research in Raleigh, North Carolina since 2016. Previous registrations include Transamerica Financial Advisors in Raleigh, North Carolina (2013-2016); NFP Securities in Raleigh, North Carolina (2012-2013); and Transamerica Financial Advisors in Raleigh, North Carolina (2011-2012). She has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on October 7, 2011 and Series 7 (General Securities Representative Examination), which he obtained on April 20, 2011. She is a registered broker and investment adviser with nine US states and territories: Delaware, the District of Columbia, Kentucky, Maryland, Minnesota, North Carolina, Ohio, Oregon, and Virginia.
According to her BrokerCheck report, she has received two customer complaints.
In November 2017 a customer alleged Stephanie Abee, while employed at Kestra Investment Services, misrepresented material facts regarding the nature of unsuitable, illiquid oil and gas investments, as well as the commissions and fees associated with them. The complaint, in which she was not listed as the representative of record but in an administrative capacity, settled in March 2018 for $25,000.
In 2016 a customer alleged Stephanie Abee, while employed at Transamerica Financial Advisors, made misrepresentations regarding the risks and nature of certain unsuitable investments, as well as the commissions and fees associated with those investments. The complaint settled in August 2017 for $250,000.
If you or someone you know has complaints regarding Stephanie Abee, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on a contingency basis: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.