Articles Tagged with LPL Financial Services

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Michael BotwinickPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 12, 2018 indicate that New Jersey-based LPL Financial Services broker/adviser Michael Botwinick has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Botwinick (CRD# 1057151).

Michael Botwinick has spent 36 years in the securities industry and has been registered with LPL Financial in Woodcliff Lake, New Jersey since 1998. Previous registrations include American Express Financial Advisors in Minneapolis, Minnesota (1982-1998); IDS Life Insurance Company in Minneapolis, Minnesota (1982-1998); American Express Service Corporation in Minneapolis, Minnesota (1993-1994); and IDS Financial Services (1982-1986). He has passed six securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 30, 1985; Series 31 (Futures Managed Funds Examination), which he obtained on September 3, 2003; Series 7 (General Securities Representative Examination), which he obtained on March 15, 1986; Series 22 (Direct Participation Programs Representative Examination), which he obtained on July 31, 1984; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on July 30, 1982; and Series 24 (General Securities Principal Examination), which he obtained on April 27, 1994. He is a registered broker and investment adviser with 30 US states and territories.

According to his BrokerCheck report, he has received one pending customer complaint.

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Larry GregurashPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 6, 2018 indicate that Indiana-based LPL Financial Services broker/adviser Larry Gregurash has been involved in a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Gregurash (CRD# 2724498).

Larry Gregurash has spent 22 years in the securities industry and has been registered with LPL Financial in Anderson, Muncie, and Winchester, Indiana since 2009. Previous registrations include Invest Financial Corporation in Richmond, Indiana (2005-2009); ONB Investment Services in Evansville, Indiana (2002-2005); and Pruco Securities Corporation in Newark, New Jersey (1996-2002). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on October 11, 2007; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 11, 1996; Series 7 (General Securities Representative Examination), which he obtained on July 1, 2003; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on April 11, 1996. He is a registered broker and investment adviser with nine US states and territories: Florida, Illinois, Indiana, Iowa, Kentucky, Michigan, North Carolina, Ohio, and Oregon.

According to his BrokerCheck report, he has received one customer complaint and one denied customer complaint.

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Scott Williams

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 22, 2018 indicate that former Tennessee-based LPL Financial Services broker/adviser Scott Williams was recently discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Williams (CRD# 2330693).

Scott Williams has spent 25 years in the securities industry and was most recently registered with LPL Financial in Franklin, Tennessee (2017-2018). Previous registrations include Raymond James Financial Services in Franklin, Tennessee (2011-2017) and JJB Hilliard WL Lyons in Memphis, Tennessee, He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 13, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 29, 1993; Series 7 (General Securities Representative Examination), which he obtained on April 14, 1993; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on April 30, 2011; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on April 4, 2011. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one denied customer complaint and was recently terminated from his former employer in connection to alleged rule violations.

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William BlackfordPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 8, 2018 indicate that New York-based LPL Financial Services and Financial Resources Group Investment Services broker William Blackford has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Blackford (CRD# 1828411).

William Blackford has spent 28 years in the securities industry and has been registered with Financial Resources Group Investment Services and LPL Financial in Valley Stream, New York since 2018 and 2014. Previous registrations include Citigroup Global Markets in Rockville Centre, New York (2013-2014); Capital One Investment Services in Melville, New York (2010-2013); Citigroup Global Markets in Plainview, New York (2007-2010); Citicorp Investment Services in Plainview, New York (2007); HSBC Securities in Melville, New York (2005-2007); Citicorp Investment Services in Long Island City, New York (2004-2005); Park Avenue Securities in New York, New York (2003-2004); MetLife Securities in Springfield, Massachusetts (1999-2003); Metropolitan Life Insurance in New York, New York (1999-2003); Mony Securities in New York, New York (1994-1999); and NYLife Securities in New York, New York (1989-1994). He has passed six securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 13, 1988; Series 7 (General Securities Representative Examination), which he obtained on April 30, 2001; Series 22 (Direct Participation Programs Representative Examination), which he obtained on January 15, 1990; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on July 17, 1989; Series 24 (General Securities Principal Examination), which he obtained on May 25, 2001; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on February 23, 2001. He is a registered broker in New York.

According to his BrokerCheck report, he has received one pending customer complaint and one denied customer complaint.

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Terry KarchPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 1, 2018 indicate that California-based LPL Financial Services broker/adviser Terry Karch is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Karch (CRD# 2574745).

Terry Karch has spent 23 years in the securities industry and has been registered with LPL Financial in Fresno, California since 2009. Previous registrations include Citigroup Global Markets in Fresno, California (2000-2009) and Dean Witter Reynolds in Purchase, New York (1995-2000). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on January 23, 1996; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 17, 1995; Series 31 (Futures Managed Funds Examination), which he obtained on March 21, 1995; and Series 7 (General Securities Representative Examination), which he obtained on February 16, 1995. He is a registered broker and investment adviser with eleven US states and territories: Alabama, California, Colorado, Florida, Illinois, Kansas, North Carolina, South Carolina, Texas, Utah, and Washington.

According to his BrokerCheck report, he has received one pending customer complaint and one denied customer complaint.

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Melvin CasePublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 2, 2017 indicate that former Florida-based LPL Financial Services broker/adviser Melvin Case has received a pending criminal charge and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Case (CRD# 2393464).

Melvin Case has spent 23 years in the securities industry and was most recently registered with LPL Financial in Jacksonville, Florida (2008-2017). He was previously registered with Pruco Securities in Jacksonville, Florida (1993-2008). He has passed two securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on June 3, 1998; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 13, 1995; Series 7 (General Securities Representative Examination), which he obtained on May 19, 1998; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on September 14, 1993. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received two customer complaints and one pending criminal charge, and was recently discharged from his former employer.