COURTNEY KAPLAN of LPL Financial is BARRED

PALM HARBOR, FLORIDA Have you lost money with financial advisor Courtney Kaplan, formerly with LPL Financial and Wells Fargo in Palm Harbor, Florida? We are looking into allegations made against Courtney Kaplan. Kaplan was barred from the securities industry by FINRA after she failed to respond to an investigation. FINRA alleged that Kaplan borrowed money from a client and was named as a beneficiary under the client’s will.

Courtney Kaplan was with LPL Financial from March 2019 to July 2021. She was also with Wells Fargo from June 2017 to March 2019. She has worked at branch offices in Palm Harbor, Florida. Kaplan was also allowed to resign by LPL Financial, and he’s been the subject of seven customer complaints.

Brokerage firms like LPL Financial have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Florida. Our attorneys have represented over one thousand investors against many brokerage firms in the past.

View C Kaplan BrokerCheck Report

If you lost money with Courtney Kaplan, Wells Fargo, or LPL Financial, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.