Courtney Kaplan – Financial Advisor/Broker Barred by FINRA | Goodman & Nekvasil, P.A. May Recover Investor Losses
Courtney Kaplan is a previously licensed financial advisor with LPL Financial, Wells Fargo, and Cetera Investment Services.
According to FINRA:
Kaplan consented to the sanction and to the entry of findings that she refused to provide documents and information requested by FINRA during an investigation into allegations made in a Form U5 amendment filed by her former member firm. The findings stated that the firm commenced an internal review after a former client’s daughter alleged that Kaplan borrowed money from her father and that Kaplan and her husband were beneficiaries under her father’s will.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost money on investments with Courtney Kaplan and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Courtney Kaplan’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $200 million on behalf of victimized investors. If you lost money on investments with Courtney Kaplan and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
Some of the information in this blog post was obtained on 10/4/2021 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.