Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 12, 2018 indicate that Arizona-based Kestra Investment Research and LPL Financial broker/adviser Ron Willoughby has received customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Willoughby (CRD# 2425926).
Ron Willoughby has spent 24 years in the securities industry and has been registered with Kestra Investment Research in Tempe, Arizona since March 2018, and with LPL Financial in Tempe, Arizona since December 2016. Previous registrations include Morgan Stanley in Tempe, Arizona (2009-2016); Morgan Stanley & Company in Mesa, Arizona (2007-2009); Morgan Stanley DW in Scottsdale, Arizona (2005-2007); UBS Financial Services in Weehawken, New Jersey (1999-2005); Piper Jaffray in Minneapolis, Minnesota (1996-1999); and Merrill Lynch in New York, New York (1994-1996). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on January 4, 2017; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 21, 1994; and Series 7 (General Securities Representative Examination), which he obtained on January 5, 1994. He is a registered broker and investment adviser with ten US states: Arizona, California, Connecticut, Louisiana, Massachusetts, Montana, New Mexico, North Carolina, Texas, and Washington.
According to his BrokerCheck report, he has received two customer complaints and one denied customer complaint.
In October 2017 a customer alleged Ron Willoughby, while employed at LPL Financial, recommended unsuitable investments in unit investment trusts. The complaint settled in January 2018 for more than $33,000.
In 2008 a customer alleged Ron Willoughby, while employed at Morgan Stanley & Company, recommended unsuitable investments. The complaint settled in 2010 for $67,500.
In 1999 a customer alleged Ron Willoughby, while employed at Piper Jaffray, executed an unauthorized transaction. The customer sought $96,000 in damages in the complaint, which was denied.
If you or someone you know has complaints regarding Ron Willoughby, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on a contingency basis: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.