Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 4, 2018 indicate that former Alabama-based Next Financial Group broker David Gatlin is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have disputes regarding Mr. Gatlin (CRD# 2202955).
David Gatlin has spent 18 years in the securities industry and was most recently registered with Next Financial Group in Bay Minette, Alabama (2014-2017). Previous registrations include Securities America in Spanish Fort, Alabama (2003-2014); Salomon Smith Barney in New York, New York (2000-2003); Pruco Securities Corporation (1992-1993); and FN Wolf & Company (1992). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on January 5, 2001; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 5, 2001; and Series 7 (General Securities Representative Examination), which he obtained on December 20, 2000. He is currently not registered with any state or firm.
According to his BrokerCheck report, he has received one unsatisfied civil judgment or lien and two customer complaints that were closed or denied.
In December 2017 a customer alleged David Gatlin, while employed at Next Financial Group, misled her in connection with the sale of a variable annuity by guaranteeing a 5% annualized rate of return regardless of the investment allegation, and representing that her money would be accessible with no penalties at age 59 and a half. The customer sought $48,000 in damages in the complaint, which was closed with no action taken.
In 2016 the Blakely Plantation Property Owners Association filed a civil judgment or lien totaling $5,871.28 against him. The judgment or lien remains outstanding.
In 2013 a customer alleged David Gatlin, while employed at Securities America, executed unauthorized trades and made unsuitable investment recommendations. The customer sought unspecified damages in the complaint, which was denied.
If you or someone you know has lost money investing with David Gatlin, call the experienced attorneys at Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.