Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 8, 2017 indicate that former California-based LPL Financial broker/adviser Michael Hampton was recently sanctioned by FINRA in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hampton (CRD# 4349202).
Michael Hampton has spent 14 years in the securities industry and was most recently registered with LPL Financial in Orangeville, California (2015-2016). Previous registrations include Ameriprise Financial Services in Roseville, California; Wells Fargo Investments in Roseville, California; and First Union Securities in St. Louis, Missouri. He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), Series 63 (Uniform Securities Agent State Law Examination), and Series 7 (General Securities Representative Examination). He is currently not registered with any state or firm.
According to his BrokerCheck report, he has received two FINRA sanctions.
In December 2016 FINRA sanctioned Michael Hampton following allegations he failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance. He was suspended from acting as a broker, a suspension that was lifted on June 14, 2017.
In March 2016 FINRA sanctioned him following allegations he failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance. He was suspended from acting as a broker, a suspension that was lifted on September 13, 2016.
If you or someone you know has lost money investing with Michael Hampton, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect 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.