Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 indicate that former Oklahoma-based First Allied Securities broker/adviser Louise Short, who is currently registered as a investment adviser with United Income, has received resolved or pending customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Short (CRD# 1751555).
Louise Short has spent 31 years in the securities industry and was most recently registered as a broker with First Allied Securities in Tulsa, Oklahoma (2010-2019). She has been registered as an investment adviser with United Income in Tulsa, Oklahoma since December 2018. Her previous registrations include SWS Financial Services in Tulsa, Oklahoma (1994-2010); Southwest Securities in Dallas, Texas (1990-1994); and First Investors Corporation in New York, New York (1987-1990). She has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which she obtained on May 15, 2001; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on October 9, 1987; SIE (Securities Industry Essentials Examination), which she obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which she obtained on August 14, 1990; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which she obtained on October 9, 1987; and Series 24 (General Securities Principal Examination), which she obtained on July 6, 2015. She is currently not registered as a broker with any state or firm.
According to her BrokerCheck report, she has received one customer complaint and one pending customer complaint.
In January 2019 a customer alleged Louise Short, while employed at First Allied Securities, recommended unsuitable investments in over-the-counter equities. The customer is seeking more than $99,600 in damages in the pending complaint.
In 1998 a customer alleged Louise Short, while employed at Brokers Transaction Services, failed to disclose information in connection with the sale of a private stock product. The complaint settled for $30,000.
If you or someone you know has lost money investing with Louise Short, 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 by law, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.