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Courtney Kaplan Barred by FINRA Following Refusal to Cooperate

Nov 15, 2021 AWC

Courtney Kaplan (CRD #: 5249375), a broker and investment adviser formerly registered with 

LPL Financial has been barred by FINRA, according to her BrokerCheck Record accessed on October 31, 2021. According to FINRA's allegations, Courtney Kaplan refused to provide information and documents requested by FINRA, violating FINRA Rules 8210 and 2010.

FINRA Letter of Acceptance, Waiver, and Consent Agreement

On September 30, 2021, Courtney Kaplan entered into an Acceptance, Waiver, and Consent Agreement (AWC) after FINRA alleged that Courtney Kaplan refused to provide information and documents requested by FINRA in violation of FINRA Rules 8210 and 2010. 

According to FINRA, the matter originated from its investigation of the Form U5 filed by Wells Fargo, Inc on behalf of Courtney Kaplan. According to the allegations, she allegedly borrowed money from a client's father, who is currently deceased. The allegations further state that Courtney Kaplan and her husband were beneficiaries of the deceased’s will.

Courtney Kaplan's alleged conduct violates FINRA Rules 8210 and 2010 by refusing to provide documents and information requested pursuant to FINRA Rule 8210.

You can read a copy of the AWC here.

FINRA Rules 8210 and 2010

FINRA Rule 8210 requires brokers to provide information requested during the course of a FINRA investigation. 

A violation of FINRA Rule 8210 is also a violation of FINRA Rule 2010, which requires member firms and their associated persons to "observe high standards of commercial honor and just and equitable principles of trade."

Courtney Kaplan Background Information

Courtney Kaplan has passed the following exams:

  • Series 66 - Uniform Combined State Law Examination
  • SIE - Securities Industry Essentials Examination
  • Series 7 - General Securities Representative Examination
  • Series 6 - Investment Company Products/Variable Contracts Representative Examination

She has worked for the following firms:

  • LPL Financial (CRD#:6413)
  • Wells Fargo Clearing Services (CRD#:19616)
  • Cetera Investment Services (CRD#:15340)
  • Synovus Securities (CRD#:14023)
  • W&S Brokerage Services (CRD#:8099)
  • BB&T Investment Services (CRD#:33856)
  • Nylife Securities (CRD#:5167)

Kurta Law Can Help 

If you have been victimized by Courtney Kaplan, don't hesitate to get in touch with us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Please contact us today if you would like us to evaluate your potential case.