Articles Tagged with LPL Financial

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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.

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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.

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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.

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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.

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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.

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Andrew ArnoPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 6, 2017 indicate that Pennsylvania-based Cetera Advisors broker/adviser Andrew Arno was terminated from his former employer, LPL Financial, in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Arno (CRD# 2834759).

Andrew Arno has spent 20 years in the securities industry and has been registered with Cetera Advisors in Yardley, Pennsylvania since August 2017. Previous registrations include LPL Financial in Philadelphia, Pennsylvania (2004-2017) and WS Griffith Securities in Hartford, Connecticut (1997-2004). 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 a registered broker and investment adviser with nine US states: Delaware, Florida, Maryland, New Jersey, New York, North Carolina, Ohio, Pennsylvania and South Carolina.

According to his BrokerCheck report, he was recently discharged from a former employer.

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Stephen GarrettPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 17, 2017 indicate that California-based LPL Financial broker/adviser Stephen Garrett has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Garrett (CRD# 218223).

Stephen Garrett has spent 42 years in the securities industry and has been registered with LPL Financial in Monrovia, California since 1993. Previous registrations include Grant Benningen in New York, New York (1992); Merrill Lynch in New York, New York (1978-1990); and Merrill Lynch (1973-1978). He has passed five securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination); Series 15 (Foreign Currency Options Examination); PC (AMEX Put and Call Exam); Series 1 (Registered Representative Examination); and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]). He is a registered broker and investment adviser with 8 US states and territories: Arizona, California, Illinois, Nevada, New Mexico, Oregon, Utah and Washington.

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

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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.