Articles Tagged with LPL Financial

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Scott Garrison

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 11, 2017 indicate that former California-based LPL Financial broker advisor Stanley Garrison, also known as Scott Garrison, has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Garrison (CRD# 1126118).

Stanley Scott Garrison has spent 32 years in the securities industry and was most recently registered with LPL Financial in Bakersfield, California (2009-2015). Previous registrations include Associated Securities Corporation in Bakersfield, California; FSC Securities in Bakersfield, California; Sentra Securities in Phoenix, Arizona; Prudential-Bache Securities; and Dean Witter Reynolds. He is currently not registered with any state or firm.

According to his BrokerCheck report, Stanley Scott Garrison has received one FINRA sanction and two customer complaints.

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Roger Zullo

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 11, 2017 indicate that former Massachusetts-based LPL Financial broker/adviser Roger Zullo was recently sanctioned by FINRA and barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Zullo (CRD# 1882087).

Roger Zullo has spent 28 years in the securities industry and was most recently registered with LPL Financial in Boston, Massachusetts (2004-2016). Previous registrations include Park Avenue Securities in New York, New York and Guardian Investor Services in New York, New York. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received two regulatory sanctions, two customer complaints, and two pending customer complaints.

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Michael Hampton

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.

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Robert Mitchell

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 25, 2017 indicate that Missouri-based LPL Financial broker/adviser Robert Mitchell has been named in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Mitchell (CRD# 4123902).

Robert Mitchell has spent 16 years in the securities industry and has been registered with LPL Financial in St. Charles, Missouri since 2008. Previous registrations include Edward Jones in St Peters, Missouri (2002-2008) and Financial World Corporation in Overland Park, Kansas (2000-2001). 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 a registered broker and investment adviser with seven US states: Arizona, California, Illinois, Kansas, Missouri, Pennsylvania and Texas.

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

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Shane KellyPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 27, 2017 indicate that former Florida-based LPL Financial broker Shane Kelly was discharged from his former employer and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Kelly (CRD# 3152000).

Shane Kelly has spent 17 years in the securities industry and was most recently registered with LPL Financial in Port Lucie, Florida (2014-2017). Previous registrations include Suntrust Investment Services in Delray Beach, Florida; PNC Investments in Loxahatchee, Florida; Key Investment Services in Ogden, Utah; LPL Financial in Ogden, Utah; XCU Capital Corporation in West Jordan, Utah; H&R Block Financial Advisors in Salt Lake City, Utah; JB Hanauer & Company in Parsippany, New Jersey; Wachovia Securities in St. Louis, Missouri; Merrill Lynch in New York, New York; Prudential Securities in New York, New York; and Baxter Banks & Smith in St. Petersburg, Florida. 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, Shane Kelly has received one customer complaint and was discharged from a former employer.

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Roger ZulloPublic records provided by the Financial Industry Regulatory Authority (FINRA) on April 25, 2017 indicate that former Massachusetts-based LPL Financial broker/adviser Roger Zullo has been sanctioned by the State of Massachusetts and named in several pending regulatory complaints. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Zullo (CRD# 1882087).

Roger Zullo has spent 28 years in the securities industry and was most recently registered with LPL Financial in Boston, Massachusetts (2004-2016). Previous registrations include Park Avenue Securities in New York, New York and Guardian Investor Services in New York, New York. He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), Series 6 (Investment Company Products/Variable Contracts Representative Examination), and Series 26 (Investment Company Products/Variable Contracts Principal Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one regulatory sanction and four pending customer complaints.

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Sanders Spangler

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 6, 2017 indicate that former Texas-based LPL Financial broker Sanders Spangler was recently terminated from LPL and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Spangler (CRD# 4188542).

Sanders Spangler has spent sixteen years in the securities industry and was most recently registered with LPL Financial in San Antonio, Texas (2005-2017). He was previously registered with Edward Jones in St. Louis, Missouri (2000-2005). He has passed two securities industry examinations; 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, Sanders Spangler was terminated from his former employer in connection to alleged policy violations.

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Eric KuchelPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on February 24, 2017 indicate that former California-based LPL Financial broker Eric Kuchel has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Kuchel (CRD# 4118500).

Eric Kuchel has spent fifteen years in the securities industry and was most recently registered with LPL Financial in Brea, California (2014-2015). Previous registrations include Crown Capital Securities in Brea, California and Brookstreet Securities. He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); and Series 24 (General Securities Principal Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received three customer complaints, two pending customer complaints, and one FINRA sanction.

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Mark Beesley

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on February 22, 2017 indicate that former Illinois-based LPL Financial broker/adviser Mark Beesley has been 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 speaking to investors who have complaints regarding Mr. Beesley (CRD# 1229440).

Mark Beesley has spent 32 years in the securities industry and was most recently registered with LPL Financial in Rockford, Illinois (2009-2016). Previous registrations include Mutual Service Corporation in Rockford, Illinois; Bates Securities; and Milwaukee Equity Services. He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); and Series 6 (Investment Company Products/Variable Contracts Representative Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, Mark Beesley has received one regulatory sanction and was recently discharged from LPL Financial.

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Bradley ThompsonPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on January 31, 2017 indicate that former Colorado-based LPL Financial broker/adviser Bradley Thompson has been sanctioned by FINRA and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Thompson (CRD# 3233338).

Bradley Thompson has spent sixteen years in the securities industry and was most recently registered with LPL Financial in Fort Collins, Colorado (2009-2016). Previous registrations include Primevest Financial Services in Fort Collins, Colorado; Wells Fargo Brokerage Services in Minneapolis, Minnesota; Wells Fargo Investments in San Francisco, California; and Wells Fargo Brokerage Services in Minneapolis, Minnesota. He is currently not registered with any state or firm.

According to his BrokerCheck report, Bradley Thompson has received one customer complaint and one regulatory sanction. He was also terminated from LPL Financial in connection to alleged rule violations.