DID DAVID VOLPE CAUSE YOU INVESTMENT LOSSES?
David Volpe Formerly With First Financial Equity Corp., LPL Financial And National Planning Has A Customer Complaint For Alleged Broker Misconduct
Who is David Volpe formerly with First Financial Equity Corp.?
David Volpe (CRD #2543478) who was formerly registered with First Financial Equity Corp. and located in Scottsdale, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Prior to First Financial Equity Corp., David Volpe was associated with LPL Financial, National Planning and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
David Volpe also has had regulatory problems. In 2019, he was investigated by FINRA into whether engage in a private securities transaction or borrowed funds from a customer. David Volpi allegedly refused to produce information and documents and consented to the sanction of a permanent bar from any further association with any member firm in any capacity.
David Volpe Customer Complaint
David Volpe has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were that David Volpe converted her funds by liquidating her accounts for his own personal use and by requesting claimant to write personal checks to him. The customer complaint filed against David Volpe’s former employer First Financial Equity Corp., LPL Financial, and National Planning for investment losses caused by the alleged misconduct is pending as of the date of this report.
David Volpe Red Flags & Your Rights As An Investor
Of course, David Volpe did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of David Volpe at First Financial Equity Corp., LPL Financial, and National Planning on alert to review carefully the activity and performance of their accounts and question whether David Volpe has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at First Financial Equity Corp., LPL Financial, and National Planning also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
File A Claim To Recover Your Investment Losses At First Financial Equity Due To David Volpe
If you have questions about First Financial Equity Corp., LPL Financial, National Planning, and/or David Volpe and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.