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Articles Tagged with LPL Financial

The Securities and Exchange Commission (SEC) has charged former LPL Financial broker Kerry Hoffman (CRD#: 1061740) with securities fraud. He allegedly sold unregistered securities of GT Media, Inc. according to the SEC’s press release and his BrokerCheck record accessed on September 5, 2019. On July 1, 2019, the SEC charged Kerry Hoffman with securities fraud, […]

Eric Savell (CRD#: 4182368), formerly a registered representative with LPL Financial, has been suspended by FINRA for failing to disclose outside business activities. According to his BrokerCheck record accessed on August 27, 2019, Eric Savell entered into an Acceptance, Waiver, and Consent (AWC) with FINRA on August 5, 2019. According to the complaint, “… Savell […]

Adam Lunceford (CRD#: 4686499), a 15-year veteran of the securities industry whose experience spans five firms, is currently a Scottsdale, Arizona-based registered representative with LPL Financial. He does business as the Householder Group. On June 26, 2019, he became involved in a customer dispute that alleged that he “disregarded the Claimant’s objectives by recommending that […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 2, 2019 indicate that Massachusetts-based broker-dealer firm LPL Financial has received more than 200 complaints from customers and regulatory authorities. Fitapelli Kurta is interested in hearing from investors who have complaints regarding LPL Financial (CRD# 6413). Established in California in […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 12, 2019 indicate that former Wisconsin-based LPL Financial broker/adviser William Schnepp was 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 January 31, 2019 indicate that former Florida-based LPL Financial broker/adviser Gabriela Trower 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 hearing from […]

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 9, 2019 indicate that California-based LPL Financial broker/adviser Scott Van Epps has received a pending customer complaint. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Van Epps (CRD# 2513960). Scott Van Epps has spent 24 years […]

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 […]

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