Did you lose money investing with Courtney Kaplan (CRD# 5249375)?
Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Courtney Kaplan. If you suffered losses investing with Courtney Kaplan, then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
If you suffered losses and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
As of January 30, 2023, Courtney Kaplan’s FINRA BrokerCheck Report contains the following:
BARRED: FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
Disclosure Events
1 Regulatory Event
September 30, 2021 – An AWC was issued in which Kaplan was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Kaplan consented to the sanction and to the entry of findings that she refused to provide documents and information requested by FINRA during an investigation into allegations made in a Form U5 amendment filed by her former member firm. The findings stated that the firm commenced an internal review after a former client’s daughter alleged that Kaplan borrowed money from her father and that Kaplan and her husband were beneficiaries under her father’s will. (FINRA Case #2021071439701)
Current and Previous Registrations
03/11/2019 – 07/22/2021 LPL FINANCIAL LLC (CRD#:6413) PALM HARBOR, FL
06/30/2017 – 03/14/2019 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) TAMPA, FL
04/13/2016 – 07/03/2017 CETERA INVESTMENT SERVICES LLC (CRD#:15340) NEW PORT RICHEY, FL
11/30/2015 – 04/04/2016 WELLS FARGO ADVISORS, LLC (CRD#:19616) ELLENTON, FL
12/10/2014 – 11/13/2015 SYNOVUS SECURITIES, INC. (CRD#:14023) ST. PETERSBURG, FL
10/03/2013 – 12/09/2014 W&S BROKERAGE SERVICES, INC. (CRD#:8099) TAMPA, FL
10/02/2012 – 09/06/2013 BB&T INVESTMENT SERVICES, INC. (CRD#:33856) CRYSTAL RIVER, FL
03/19/2007 – 10/04/2012 NYLIFE SECURITIES LLC (CRD#:5167) PALM HARBOR, FL
If you suffered losses and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
Due Diligence Requirement
FINRA requires broker’s to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. FINRA Rule 2111(a) states that “a member or an associated person must have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer, based on the information obtained through the reasonable diligence of the member or associated person to ascertain the customer’s investment profile. A customer’s investment profile includes, but is not limited to, the customer’s age, other investments, financial situation and needs, tax status, investment objectives, investment experience, investment time horizon, liquidity needs, risk tolerance, and any other information the customer may disclose to the member or associated person in connection with such recommendation.”
Rule 2111 is composed of three main obligations: reasonable-basis suitability, customer-specific suitability, and quantitative suitability. Brokers and the brokerage firms they work for that fail to conduct adequate due diligence on investments they recommend or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
Request a Free Consultation with a Securities Attorney
If you suffered losses investing with Courtney Kaplan and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
This information is all publicly available and is being provided to you by Galvin Legal, PLLC.
Galvin Legal, PLLC is a national securities arbitration, securities mediation, securities litigation, securities fraud, securities regulation and compliance, and investor protection law practice. For more information on Galvin Legal, PLLC and its representation of investors, please visit www.galvinlegal.com or call 1-800-405-5117.
