Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 12, 2018 indicate that Kansas-based Wells Fargo Clearing Services broker/adviser Delores Kirkpatrick, also known as Dee Kirkpatrick, has been involved in customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Caldwell (CRD# 725305).
Delores Kirkpatrick has spent 36 years in the securities industry and has been registered with Wells Fargo Clearing Services in Topeka, Kansas since 1990. Previous registrations include Blunt Ellis & Loewi (1983-1990) and BC Christopher Securities (1981-1983). She has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which she obtained on July 8, 1999; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on March 18, 1981; Series 3 (National Commodity Futures Examination), which she obtained on October 4, 1982; and Series 7 (General Securities Representative Examination), which she obtained on February 21, 1981. She is a registered broker and investment adviser with 22 US states and territories: Arkansas, California, Colorado, Florida, Georgia, Illinois, Iowa, Kansas, Kentucky, Maryland, Missouri, Nebraska, New Jersey, New Mexico, North Carolina, Oklahoma, Oregon, Pennsylvania, Tennessee, Texas, Washington, and Wisconsin. She is registered with five self-regulatory organizations (SROs): FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.
According to her BrokerCheck report, she has received two customer complaints and two denied customer complaints.
In 2016 a customer alleged Delores Kirkpatrick, while employed at Wells Fargo Advisors, made an unsuitable investment recommendation and misrepresented material facts. The complaint settled in July 2017 for $345,000.
In 2002 a customer alleged Delores Kirkpatrick, while employed at Wachovia Securities, failed to follow instructions. The customer sought 5,001 in damages in the complaint, which was denied.
In 2002 a customer alleged Delores Kirkpatrick, while employed at Wachovia Securities, provided inaccurate and incomplete information. The customer sought $8,802 in damages in the complaint, which was denied.
In 1995 a customer alleged she executed an unauthorized municipal bonds purchase. The complaint settled for more than $11,000.
If you or someone you know has a complaint regarding Delores Kirkpatrick, also known as Dee Kirkpatrick, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup lost funds. 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.