Articles Tagged with LPL Financial

James BylengaPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 15, 2019 indicate that former Michigan-based LPL Financial broker/adviser James Bylenga has been sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Bylenga (CRD# 705143).

James Bylenga has spent 38 years in the securities industry and was most recently registered with LPL Financial in Portage, Michigan (2016-2018). Previous registrations include Comerica Securities in Kalamazoo, Michigan (2009-2016); Robert W. Baird & Company in Kalamazoo, Michigan (2007-2009); Citigroup Global Markets in Kalamazoo, Michigan (1993-2007); Lehman Brothers in New York, New York (1991-1993); and Centennial Securities in Grand Rapids, Michigan (1980-1991).He has passed nine securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on January 26, 1995; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 23, 1980; SIE (Securities Industry Essentials Examination), which he obtained on August 23, 2018; Series 3 (National Commodity Futures Examination), which he obtained on January 25, 1994; Series 7 (General Securities Representative Examination), which he obtained on February 16, 1980; Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on August 27, 1994; Series 53 (Municipal Securities Principal Examination), which he obtained on October 19, 1984; Series 27 (Financial and Operations Principal Examination), which he obtained on May 1, 1981; and Series 24 (General Securities Principal Examination), which he obtained on November 25, 1980. He is currently not registered with any state or firm.

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

Earl MidgettePublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 15, 2019 indicate that former North Carolina-based LPL Financial broker Earl Midgette was recently terminated from a former employer in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Trowbridge (CRD# 2332439).

Earl Midgette has spent 25 years in the securities industry and was most recently registered with LPL Financial in Huntersville, North Carolina (2016-2019). Previous registrations include National Securities Corporation in Cornelius, North Carolina (2016); Ridgeway & Conger in New Woodstock, New York (2013-2016); Cantella & Company in Huntersville, North Carolina (2008-2013); Coburn & Meredith in Hartford, Connecticut (2004-2008); Janney Montgomery Scott in Philadelphia, Pennsylvania (1999-2004); Dean Witter Reynolds in Purchase, New York (1993-1999); and Chatfield Dean & Company in Greenwood Village, Colorado (1993). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 23, 1993; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 31 (Futures Managed Funds Examination), which he obtained on September 22, 1993; and Series 7 (General Securities Representative Examination), which he obtained on May 20, 1993. He is currently not registered with any state or firm.

According to his BrokerCheck report, he was recently discharged from his former employer in connection to alleged rule violations.

John Horseman Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 14, 2019 indicate that Missouri-based LPL Financial broker John Horseman has received resolved or pending customer complaints. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Horseman (CRD# 851636).

John Horseman has spent 34 years in the securities industry and has been registered with LPL Financial in St. Louis and Fulton, Missouri since 2017. Previous registrations include National Planning Corporation in St. Louis, Missouri (2007-2017); Associated Securities Corporation in St. Louis, Missouri (2002-2007); Prudential Securities in New York, New York (2000-2002); Painewebber in Weehawken, New Jersey (1994-2000); John Hancock Distributors and John Hancock Mutual Life Insurance Company in Boston, Massachusetts (1992-1994); MetLife Securities in Springfield, Massachusetts (1992); Metropolitan Life Insurance Company in New York, New York (1992); Ventana Financial Corporation (1986); Boettcher & Company (1985); Contisecurities (1983-1984); Prudential-Bache Securities (1982-1984); EF Hutton & Company (1982); Kidder Peabody & Company (1980-1982); EF Hutton & Company (1979-1980); and Merrill Lynch (1978-1979). He has passed nine securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 10, 2015; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 29, 1992; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 3 (National Commodity Futures Examination), which he obtained on May 29, 2001; Series 7 (General Securities Representative Examination), which he obtained on July 29, 1994; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on April 29, 1992; Series 5 (Interest Rate Options Examination), which he obtained on December 12, 1981; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on January 22, 2001; and Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on January 22, 2001. He is a registered broker and investment adviser with 31 US states and territories.

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

Christopher TuckPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 indicate that Pennsylvania-based LPL Financial broker/adviser Christopher Tuck has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Tuck (CRD# 5971765).

Christopher Tuck has spent seven years in the securities industry and has been registered with LPL Financial in Doylestown, Pennsylvania since 2011. He has no previous registrations. He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on November 29, 2011; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on October 22, 2011; and Series 24 (General Securities Principal Examination), which he obtained on August 13, 2013. He is a registered broker and investment adviser with 13 US states and territories: Arizona, California, Delaware, Florida, Georgia, Maryland, Massachusetts, New Jersey, New York, Oregon, Pennsylvania, South Carolina, and Virginia.

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

Lawrence GreenfieldPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 indicate that California-based LPL Financial broker/adviser Lawrence Greenfield has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Greenfield (CRD# 4056913).

Lawrence Greenfield has spent 10 years in the securities industry and has been registered with LPL Financial in Woodland Hills, California since July 2018. Previous registrations include Arete Wealth Management in Woodland Hills, California (2013-2018); Assent LLC in Geneva, Illinois (2003-2004; 2006-2007); Andover Brokerage in Montebello, New York (2001-2003); and Investscape in West Bloomfield, Michigan (1999-2000). He has passed five securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on October 31, 2013; Series 65 (Uniform Investment Adviser Law Examination), which he obtained on November 25, 2003; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 27, 1999; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on October 2, 2013; and Series 55 (Limited Representative-Equity Trader Exam), which he obtained on August 29, 2001. He is a registered broker and investment adviser with 19 US states and territories: Arizona, California, Colorado, Connecticut, Florida, Illinois, Maryland, Massachusetts, Michigan, Nevada, New Jersey, New York, North Carolina, Pennsylvania, Utah, Virginia, Washington, Wisconsin, and Wyoming.

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

James ZegersPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 13, 2019 indicate that former New York-based LPL Financial broker/adviser James Zegers has received a pending customer dispute and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Zegers (CRD# 2559008).

James Zegers has spent 24 years in the securities industry and was most recently registered with LPL Financial in Albany, New York (2016-2018). Previous registrations include Voya Financial in Albany, New York (2003-2016) and Waddell & Reed in Overland Park, Kansas (1994-2003). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 28, 2003; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 30, 1994; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on January 16, 2004; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on November 30, 1994. He is currently not registered with any state or firm.

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

Craig NelsonPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 1, 2019 indicate that former Utah-based LPL Financial broker/adviser Craig Nelson, who has received customer disputes, was recently 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 hearing from investors who have complaints regarding Mr. Nelson (CRD# 2536023).

Craig Nelson has spent 24 years in the securities industry and was most recently registered with LPL Financial in St. George, Utah (2012-2019). Previous registrations include Financial Network Investment Corporation in Salt Lake City, Utah (2008-2011); Royal Alliance Associates in Salt Lake City, Utah (2002-2008); Signator Investors in Boston, Massachusetts (1994-2002); and John Hancock Mutual Life Insurance Company in Boston, Massachusetts (1994-1997). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 20, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 13, 1994; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on November 8, 2007; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on September 2, 1994. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received two customer complaints and two unsatisfied tax liens, and was recently discharged from a former employer in connection to alleged rule violations.

Emil Fleischauer

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 27, 2019 indicate that Minnesota-based LPL Financial broker/adviser Emil Fleischauer has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Fleischauer (CRD# 1493167).

Emil Fleischauer has spent 22 years in the securities industry and has been registered with LPL Financial in Minnetonka, Minnesota since 2017. Previous registrations include Principal Securities in Minnetonka, Minnesota (2001-2017); Firstar Investment Services in Morris Plains, New Jersey (1996-1997); M&I Brokerage Services in Milwaukee, Wisconsin (1992-1994); American Express Financial Advisors in Minneapolis, Minnesota (1988-1991); and IDS Life Insurance Company in Minneapolis, Minnesota (1988-1991). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on July 12, 2001; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 7, 1996; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on August 28, 2001. He is a registered broker and investment adviser with 13 US states: Arizona, California, Delaware, Florida, Illinois, Iowa, Michigan, Minnesota, Ohio, South Dakota, Texas, Washington, and Wisconsin.

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

Ryan FeatherstonPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 22, 2019 indicate that former Oklahoma-based LPL Financial broker/adviser Ryan Featherston has received pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Featherston (CRD# 5825011).

Ryan Featherston has spent seven years in the securities industry and was most recently registered with LPL Financial in Tulsa, Oklahoma (2014-2018). He was previously registered with Edward Jones in Tulsa, Oklahoma (2011-2014). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on April 8, 2011; SIE (Securities Industry Essentials Examination), which he obtained on April 12, 2018; and Series 7 (General Securities Representative Examination), which he obtained on March 25, 2011. He is currently not registered with any state or firm.

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

David VolpePublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 16, 2019 indicate that former Arizona-based LPL Financial broker/adviser David Volpe was recently discharged from a former employer in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Volpe (CRD# 2543478).

David Volpe has spent 22 years in the securities industry and was most recently registered with LPL Financial in Scottsdale, Arizona (2017-2018). Previous registrations include National Planning Corporation in Scottsdale, Arizona (2009-2017); AIG Financial Advisors in Phoenix, Arizona (2005-2008); and SunAmerica Securities in Phoenix, Arizona (1996-2005. He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 5, 1998; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 20, 1995; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on May 26, 1999; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on September 27, 1995; and Series 24 (General Securities Principal Examination), which he obtained on June 17, 1999. He is currently not registered with any state or firm.

According to his BrokerCheck report, he was recently discharged from a former employer in connection to alleged rule violations.