Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 5, 2016 indicate that Ohio-based Investment Professionals broker/adviser Eric Sparling has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Sparling (CRD# 2575062).
Eric Sparling has spent 20 years in the securities industry and has been registered with Investment Professionals in Marion, Ohio since March 2016. Previous registrations include JP Morgan Securities in Marion, Ohio; Chase Investment Services in Marion, Ohio; Fidelity Brokerage Services; Lincoln Financial Advisors in Fort Wayne, Indiana; the Lincoln National Life Insurance Company in Fort Wayne, Indiana; New England Securities in New York, New York; State Farm VP Corporation in Bloomington, Illinois; and Pruco Securities in Newark, New Jersey. He is a registered broker and investment adviser in Ohio.
According to his BrokerCheck report, Eric Sparling has received three customer complaints and was discharged from JP Morgan.
In January 2016, a customer alleged Eric Sparling, while employed at JP Morgan Securities, misrepresented material facts regarding a debt-corporate investment. The complaint settled in March 2016 for $15,379.
In December 2015, Eric Sparling was terminated from his position at JP Morgan following allegations he recorded a trade as solicited when it was unsolicited.
In 2011, a customer alleged Eric Sparling, while employed at Pruco Securities, did not disclose all facts relating to a variable annuity product. The customer sought $20,000 in damages in the complaint, which was denied.
In 2009, a customer alleged Eric Sparling, while employed at Chase Investment Services, failed to follow instructions in connection to a variable annuity investment. The complaint settled for more than $1,700.
In 2009, a customer alleged Eric Sparling, while employed at Chase Investment Services, recommended an unsuitable variable annuity product. The complaint settled in 2011 for $50,000.
If you or someone you know has a complaint regarding Eric Sparling, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup losses. Fitapelli Kurta accepts every case on contingency: we only get paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.