Former Broker Kevin Fretz of South Windsor, Connecticut Terminated from LPL for Keeping Blank Forms Pre-Signed by Customers

Kevin Fretz (CRD#: 4128808), a former registered representative with LPL Financial LLC (CRD#: 6413), was terminated from his job on September 12, 2019. According to his BrokerCheck report accessed on October 28, 2019, “Representative maintained blank customer signed forms, failed to report customer complaints and failed to follow customer instructions to deposit funds to investments.”…

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Texas Financial Advisor Yvonne Silguero Involved in $500,000 Dispute Over Misrepresentation

Yvonne Silguero (CRD#: 3211495), a registered representative with LPL Financial LLC in McAllen, Texas and Brownsville, Texas, is currently involved in a $500,000 dispute over misrepresentation, according to her BrokerCheck report accessed on October 2, 2019. A client, who filed a complaint on August 9, 2019, alleges that Yvonne Silguero engaged in “negligence, gross negligence,…

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Christopher Cavallaro: Received a Pending Customer Complaint

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 21, 2019 indicate that Massachusetts-based LPL Financial broker/adviser Christopher Cavallaro has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Cavallaro (CRD# 2125009). Christopher Cavallaro has spent 28 years in the…

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Former LPL Rep Clifton Roberts Terminated Over Alleged Outside Business Activities

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 7, 2018 indicate that former Texas-based LPL Financial broker/adviser Clifton Roberts, who has received a customer dispute, was discharged from his former employer and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors…

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FINRA Sanctions Ex-LPL Rep Suhail Khan Over Unsuitable Investments

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 17, 2018 indicate that former Illinois-based LPL Financial broker/adviser Suhail Khan, who has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with a broker-dealer firm, is involved in a pending customer dispute. Fitapelli Kurta…

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Stacee Malcolm Has Received a Pending Customer Complaint

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 13, 2018 indicate that Oregon-based LPL Financial broker/adviser Stacee Malcolm has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Malcolm (CRD# 4246711). Stacee Malcolm has spent 17 years in the securities…

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Ron Willoughby Has Received Two Customer Complaints

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 12, 2018 indicate that Arizona-based Kestra Investment Research and LPL Financial broker/adviser Ron Willoughby has received customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Willoughby (CRD# 2425926). Ron Willoughby has spent 24 years…

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Michael Frost Has Received a Customer Complaint

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 8, 2018 indicate that Colorado-based LPL Financial broker Michael Frost has been involved in a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Frost (CRD# 2000358). Michael Frost has spent 27 years in…

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Laura Shean: Terminated After Admitting to Accessing a Customer’s Fund for Her Own Personal Use

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 23, 2017 indicate that former Oregon-based LPL Financial broker/adviser Laura Shean was recently discharged from her former employer in connection to alleged policy violations and is currently not affiliate with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors…

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Pedro Diaz Was Terminated From His Former Employer

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 19, 2017 indicate that former Florida-based LPL Financial broker Pedro Diaz, who has been involved in a customer dispute, was discharged from his former employer in connection to alleged rule violations and is currently affiliated with any broker-dealer firm. Fitapelli…

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