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Investor Alleges Lawrence Napolitano Engaged in Misconduct

Securities Lawyer Jonathan Kurta
By: Jonathan Kurta Author
July 7, 2023 at 1:46pm

Lawrence Napolitano (CRD #: 4921500), a broker registered with Independent Financial Group, is the subject of a pending dispute, according to his BrokerCheck record, accessed on June 28, 2023. If you have questions about his alleged conduct as a broker, keep reading.

Investor Dispute

A dispute filed on April 8, 2023, alleges that Lawrence Napolitano engaged in misconduct. This dispute is currently pending.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of many other rules may also qualify as violations of FINRA Rule 2010.

Background Information

Lawrence Napolitano has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination

Lawrence Napolitano is a registered broker in 20 states and a registered investment adviser in Nevada and Texas.

He has also worked for the following firms:

  • Kalos Management (CRD#:133025)
  • Kalos Capital (CRD#:44337)
  • Sammons Securities Company (CRD#:115368)

Kurta Law Can Help

If you worked with Lawrence Napolitano and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want 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. 

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