Publicly 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.
In December 2018 he was terminated from his position at LPL Financial in connection to allegations he violated the company’s policy regarding the execution of private securities transactions “for involvement in capital-raising efforts” without first disclosing those activities to the firm.
If you or someone you know has complaints regarding David Volpe, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on a contingency basis: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.