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Articles Tagged with LPL Financial

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 4, 2018 indicate that Texas-based LPL Financial broker/adviser Celia Scott has been involved in a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Scott (CRD# 2870484). Celia Scott has spent 21 years in […]

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 Bradley Scott has been involved in a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Scott (CRD# 4381014). Bradley Scott has spent 17 years in […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 4, 2018 indicate that Texas-based LPL Financial broker/adviser Bradley Bowman has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Bowman (CRD# 2898756). Bradley Bowman has spent 21 years in the […]

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 […]

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 22, 2018 indicate that former Kansas-based LPL Financial broker/adviser Trent Jones was recently discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors […]

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 […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 13, 2018 indicate that former Texas-based LPL Financial broker/adviser Eric Negron has been sanctioned by FINRA in connection to alleged rule violations and issued a suspension from acting as a broker. Fitapelli Kurta is interested in hearing from investors who […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 21, 2018 indicate that former Pennsylvania-based LPL Financial broker/adviser Philip Nalesnik was recently terminated from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 23, 2018 indicate that Florida-based LPL Financial broker/adviser Shon Flaharty has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Flaharty (CRD# 2666498). Shon Flaharty has spent 22 years in the […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 27, 2018 indicate that former Missouri-based LPL Financial broker/adviser Andrew Denney was recently sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding […]

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