FINRA Issues Bar To Courtney Kaplan

Soreide Law Group is conducting an investigation on behalf of investors who have sustained losses with securities broker Courtney Michelle Kaplan (Courtney Michelle Carlsen, Courtney Michelle Ingram, Courtney Ingram Yarmesch, and Courtney Michelle Yarmesch) [CRD#: 5249375, Palm Harbor, Florida]. Evidently, Kaplan worked with LPL Financial LLC in Palm Harbor, FL, from March 11, 2019, to July 22, 2021, and prior to that, with Wells Fargo Clearing Services LLC in Tampa, FL, from June 30, 2017, to March 14, 2019. Notably, FINRA barred Kaplan from associating with any FINRA member due to non-compliance with their investigative process.

FINRA Barred Kaplan For Non-Compliance

Evidently, on September 30, 2021, FINRA issued Case: 2021071439701 sanctioning Courtney Kaplan for infractions. Specifically, FINRA alleged that Kaplan refused to provide documents and information requested by FINRA during an investigation into allegations mentioned in an amendment to a Form U5 filed by Wells Fargo Clearing Services LLC.

The investigation by FINRA was spurred by claims from a former client's daughter, who alleged that Kaplan had borrowed money from her father and that both she and her husband were named beneficiaries in the father's will.

Courtney Kaplan Failed To Provide Documents

By not furnishing the requested documents and information, Kaplan failed to comply with FINRA's investigative process. While Kaplan did not admit or deny the findings, she consented to the entry of findings and the sanction.

The sanction, which is both final and indefinite, effectively ended Kaplan's ability to operate as a registered broker or investment adviser.

Seek Legal Assistance For Losses From Kaplan

Did you experience losses because of Courtney Kaplan? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney concerning a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the United States, works on a contingency fee basis, and advances all costs. Kaplan and the brokerage firms she worked for deny accusations of sales practice violations.