June 2020-Overland Park, KS
According to publicly available records of Kathryn Renee Charpie (CRD#840016) , a former stockbroker who last worked for LPL Financial, discloses a regulatory event , a customer dispute and a termination from employment.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In FINRA case #2018057449501 Charpie consented to the sanctions and to the entry of the findings that she borrowed a total of $10,000 from her member firm’s customer without notifying or receiving approval from the firm. FINRA assessed a three month suspension and a $5,000 fine.
Charpie was employed by LPL Financial from March 1994 until February 2018 when she was discharged following allegations of the violation of firm policy regarding borrowing money.
If you had an account with Kathryn Renee Charpie that suffered losses, you may be entitled to damages . Call to discuss your options.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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