DEREK COPELAND Barred After FINRA Allegations – Goodman & Nekvasil, P.A., May Recover Investor Losses
Former INDEPENDENT ADVISOR ALLIANCE, LLC investment adviser, DEREK COPELAND Barred After FINRA Allegations.
DEREK LEE COPELAND
DEREK L COPELAND
CRD#: 4347572
Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.
DEREK LEE COPELAND (CRD#: 4347572), a former registered representative for LPL FINANCIAL LLC, in CHARLOTTE, NC, is barred from associating with a FINRA member in all capacities.
According to Copeland’s FINRA BrokerCheck report, From March 2020 to January 2023, Copeland participated in 74 private securities transactions without providing prior written notice to his firm. Copeland recommended the securities to 27 individuals, most of whom were LPL customers. Collectively, the customers invested nearly $11 million in 19 securities to fund real estate development projects and investments in other businesses. As a result, Copeland violated FINRA Rules 3280 and 2010.
Copeland consents to a bar from associating with any FINRA member in all capacities, according to the FINRA AWC.
DEREK COPELAND Barred After FINRA Allegations.
Goodman & Nekvasil, P.A., is investigating brokers who may have unsuitably recommended investments to its clients.
St. Petersburg, Florida law firm Goodman & Nekvasil, P.A., has a national practice representing victimized investors. The firm continues to investigate brokerage firms that placed elderly retirees and other conservative investors in unsuitable investments.
Goodman & Nekvasil, P.A., has filed numerous cases against brokerage firms selling high-risk investments and has recovered more than $400 million dollars on behalf of victimized investors.
We allege in these cases that these investment recommendations were unsuitable for our clients in view of their financial situation, needs and investment objectives.
There is no charge for an evaluation of your case. We handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee.
If you incurred losses on your investment and would like your case evaluated by a securities attorney, please contact us.
Some of the information in this blog post was obtained from FINRA on 3/26/25. If you believe this information was reported incorrectly, please contact our firm: 1-800-500-4442.