The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding the California-based brokerage Liberty Partners Financial Services, LLC (CRD# 130390).
Formed in California in 2004, Liberty Partners Financial Services is headquartered in Bakersfield, California and registered in 52 US states and territories. Jeffrey Allen Fanning is Chief Executive Officer, Executive Representative, Chief Financial Officer, and Financial Operations Principal; Cassandra Taleen Woodward is Chief Compliance Officer.
According to its BrokerCheck report, Liberty Partners Financial Services is the subject of one regulatory sanction.
In 2008 the Financial Industry Regulatory Authority (FINRA) sanctioned Liberty Partners Financial Services following allegations the firm failed to transmit data to the Order Audit Transit System (OATS) on 205 separate business days and additionally failed to enforce its supervisory procedures pertaining to the submission of required information OATS. Liberty Partners Financial Services was censured and issued a fine of $20,000.
Liberty Partners Financial Services’ Chief Executive Officer, Jeffrey Allen Fanning, is the subject of one customer complaint and three regulatory sanctions, according to his BrokerCheck report.
In 2012 FINRA sanctioned Jeffrey Allen Fanning following allegations he failed to supervise a representative who engaged in unauthorized and excessive trading. Jeffrey Allen Fanning was issued a 30-day suspension and a fine of $20,000.
In 2010 a customer alleged Jeffrey Allen Fanning failed to detect and supervise the actions of a representative. The complaint resulted in an award to the customer of $75,000.
If you have lost money investing with Liberty Partners Financial Services LLC, you may be entitled to recover your losses. Call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on contingency, which means we only get paid if and when you recover 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.