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Articles Tagged with LPL Financial

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 […]

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 […]

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 25, 2018 indicate that former Washington-based LPL Financial broker Christopher Landa 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 provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 11, 2018 indicate that Georgia-based LPL Financial broker/adviser Cathleen Stevens has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Stevens (CRD# 2394642). Cathleen Stevens has spent 24 […]

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