Articles Tagged with LPL Financial

Published on:

Stacee MalcolmPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 13, 2018 indicate that Oregon-based LPL Financial broker/adviser Stacee Malcolm has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Malcolm (CRD# 4246711).

Stacee Malcolm has spent 17 years in the securities industry and has been registered with LPL Financial in West Linn, Oregon since 2015. Previous registrations include Allstate Financial Services in West Linn, Oregon (2004-2015); World Group Securities in Duluth, Georgia (2002-2004); and WMA Securities in Duluth, Georgia (2000-2002). She has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which she obtained on June 25, 2015; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on August 11, 2000; Series 7 (General Securities Representative Examination), which she obtained on October 21, 2014; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which she obtained on September 8, 2000. She is a registered broker and investment adviser with seven US states: Alabama, California, Florida, Georgia, Oregon, Utah and Washington.

According to her BrokerCheck report, she has received one pending customer complaint and three denied customer complaints.

Published on:

Ron WilloughbyPublicly 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.

Published on:

Michael FrostPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 8, 2018 indicate that Colorado-based LPL Financial broker Michael Frost has been involved in a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Frost (CRD# 2000358).

Michael Frost has spent 27 years in the securities industry and has been registered with LPL Financial in Colorado Springs, Colorado since November 2017. Previous registrations include National Planning Corporation in Colorado Springs, Colorado (2014-2017); LPL Financial in Colorado Springs, Colorado (2009-2014); Mutual Service Corporation in Colorado Springs, Colorado (2008-2009); Walnut Street Securities in Colorado Springs, Colorado (1993-2007); Lincoln Financial Advisors Corporation in Fort Wayne, Indiana (1991-1993); the Lincoln National Life Insurance Company in Fort Wayne, Indiana (1991-1993); Royal Alliance Associates in Jersey City, New Jersey (1991); and NYLife Securities in New York, New York (1990-1991). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 24, 1992; Series 7 (General Securities Representative Examination), which he obtained on May 4, 2001; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on November 27, 1990. He is a registered broker with 20 US states and territories: Alabama, Arizona, California, Colorado, Florida, Hawaii, Idaho, Illinois, Kentucky, Montana, Nevada, New Hampshire, North Carolina, Ohio, Oregon, South Carolina, South Dakota, Texas, Virginia, and Wisconsin.

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

Published on:

Laura SheanPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 23, 2017 indicate that former Oregon-based LPL Financial broker/adviser Laura Shean was recently discharged from her former employer in connection to alleged policy violations and is currently not affiliate with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Shean (CRD# 2628756).

Laura Shean has spent 21 years in the securities industry and was most recently registered with LPL Financial in Medford, Oregon (1999-2017). She was previously registered with Merrill Lynch in New York, New York (1996-1999). She has passed five securities industry examinations: Series 66 (Uniform Combined State Law Examination), which she obtained on May 21, 2003; Series 65 (Uniform Investment Adviser Law Examination), which she obtained on February 13, 1996; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on September 8, 1995; Series 7 (General Securities Representative Examination), which she obtained on March 4, 1996; and Series 24 (General Securities Principal Examination), which she obtained on April 26, 2000. She is currently not registered with any state or firm.

According to her BrokerCheck report, she was recently terminated from her former employer and has received one customer complaint that was closed.

Published on:

Pedro DiazPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 19, 2017 indicate that former Florida-based LPL Financial broker Pedro Diaz, who has been involved in a customer dispute, was discharged from his former employer in connection to alleged rule violations and is currently affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Diaz (CRD# 4877003).

Pedro Diaz has spent twelve years in the securities industry and was most recently registered with LPL Financial in Coconut Creek, Florida (2010-2017). He was previously registered with Amtrust Investment Services in Coral Springs, Florida (2005-2010). He has passed one securities industry examination: Series 7 (General Securities Representative Examination), which he passed on January 6, 2005. He is currently not registered with any state or firm.

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

Published on:

Vladimir GrebenPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 22, 2017 indicate that Maryland-based LPL Financial broker/adviser Vladimir Greben has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Greben (CRD# 2547477).

Vladimir Greben has spent 21 years in the securities industry and has been registered with LPL Financial in Owings Mills, Maryland since 2015. Previous registrations include JP Turner & Company in Owings Mills, Maryland (2002-2015); Global Capital Securities Corporation in Englewood, Colorado (2000-2002); Northridge Capital Corporation in Melville, New York (1999-2001); Zeus Securities in Boca Raton, Florida (1999); Milestone Financial Services in Bohemia, New York (1998-1999); Birchtree Financial Services in Minneapolis, Minnesota (1998); Legg Mason Wood Walker in Baltimore, Maryland (1996-1997); and Olde Discount Corporation in Detroit, Michigan (1994-1996). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on September 26, 2007; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 7, 1994; Series 7 (General Securities Representative Examination), which he obtained on November 29, 1994; and Series 24 (General Securities Principal Examination), which he obtained on March 4, 1999. He is a registered broker and investment adviser with 17 US states and territories: California, Colorado, Delaware, the District of Columbia, Florida, Georgia, Hawaii, Maryland, New Jersey, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Texas, Virginia and Washington.

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

Published on:

Edward Lamson IIPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 21, 2017 indicate that New York-based LPL Financial broker Edward Lamson II is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Lamson (CRD# 301298).

Edward Lamson II has spent 45 years in the securities industry and has been registered with Morgan Stanley in Boston, Massachusetts since 2009. Previous registrations include Citigroup Global Markets in Boston, Massachusetts (1989-2009); Drexel Burnham Lambert Incorporated (1977-1989); and American Securities Corporation (1971-1977). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 26, 1984; PC (AMEX Put and Call Exam), which he obtained on August 29, 1977; and Series 1 (Registered Representative Examination), which he obtained on November 9, 1971. He is a registered broker with one US state, Massachusetts, and four self-regulatory organizations (SROs): FINRA, NYSE American LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

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

Published on:

Benjamin LingenfelterPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 21, 2017 indicate that New York-based LPL Financial broker/adviser Benjamin Lingenfelter is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Lingenfelter (CRD# 3220009).

Benjamin Lingenfelter has spent 18 years in the securities industry and has been registered with LPL Financial in Lake Grove, New York since 2011. Previous registrations include David Lerner Associates in Syosset, New York (2000-2011); AXA Advisors in New York, New York (1999-1999); and the Equitable Life Assurance Society of the United States in New York, New York (1999). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 7, 1999; Series 7 (General Securities Representative Examination). which he obtained on January 13, 2000; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on May 13, 1999. He is a registered broker and investment adviser with 10 US states and territories: Arizona, California, Delaware, Florida, Massachusetts, Nevada, New Jersey, New York, Pennsylvania and West Virginia.

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

Published on:

Terrence Diehl

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 18, 2017 indicate that former Boston-based LPL Financial broker Terrence Diehl has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Diehl (CRD# 2335297).

Terrence Diehl has spent 10 years in the securities industry and was most recently registered with LPL Financial in Boston, Massachusetts (2015-2016). Previous registrations include Joseph Gunnar & Company in New York, New York; Morgan Stanley in Purchase, New York; and Prudential Securities in New York, New York. He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination); Series 65 (Uniform Investment Adviser Law Examination); and Series 7 (General Securities Representative Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, Terrence Diehl has received one FINRA sanction and was terminated from a former employer.

Published on:

Clay FairleyPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 10, 2017 indicate that North Carolina-based LPL Financial broker/adviser Clay Fairley has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Fairley (CRD# 1428423).

Clay Fairley has spent thirty-one years in the securities industry and has been registered with LPL Financial in Southport, North Carolina since 2004. He was previously registered with AG Edwards & Sons in St. Louis, Missouri from 1985 to 2004. He has passed three 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 a registered broker and investment adviser with 24 US states and territories: California, Colorado, Connecticut, Delaware, Florida, Georgia, Maine, Maryland, Massachusetts, Michigan, Montana, New Hampshire, New Jersey, New York, North Carolina, Ohio, Pennsylvania, South Carolina, South Dakota, Texas, Virginia, Washington, Wisconsin and Wyoming.

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