David John Volpe Allegedly Violated LPL Financial’s Private Securities Transactions Policy for Purported Involvement in Capital-raising Efforts
David Volpe was discharged by LPL Financial LLC for alleged violation of LPL’s private securities transactions policy, according to an employment separation report under review by investor rights attorney Alan Rosca.
Said report can be found on Volpe’s FINRA BrokerCheck Report and states that Volpe’s alleged violations allegedly involved capital-raising efforts without prior disclosure, FINRA states.
Alan Rosca, of the Goldman Scarlato & Penny PC law firm, is investigating activity related to David Volpe’s alleged private securities transaction policy violations. Investors who believe they may have lost money in activity related to David Volpe’s alleged private securities transaction policy violations are encouraged to contact attorney Alan Rosca with any useful information or for a free, no obligation discussion about their options.
David Volpe Discharged by LPL Financial
David Volpe, based on the alleged aforementioned behavior, was discharged by LPL Finacial, FINRA states.
David Volpe, in sum, has three disclosures on his FINRA BrokerCheck Report, FINRA notes.
David Volpe also had a bankruptcy disclosure filed on January 6, 2010 which was discharged, and was charged with two counts of alleged possession of marijuana for sale, and alleged possession of marijuana, and found not guilty on both charges, according to his FINRA BrokerCheck Report.
David Volpe has worked for 22 years in the securities industry, and has worked at four different firms in Arizona, FINRA notes.
Volpe was registered with LPL Financial in Scottsdale, Arizona from November 29, 2017 through December 27, 2018, and was also registered with National Planning Corporation in Scottsdale, Arizona from January 2, 2009 until November 29, 2017, FINRA states.
David Volpe also was registered with AIG Financial Advisors, Inc in Phoenix, Arizona from October 31, 2005 until December 31, 2008, and with Sun America Securities, Inc. in Phoenix from March 4, 1996 until October 31, 2005, FINRA states.
Finally, it is important to note that, as of the date of this article, there has not been a finding of liability as to the complaints mentioned in this article, unless otherwise indicated.
Securities Lawyer Investigating
The Goldman Scarlato & Penny PC law firm represents investors who lose money as a result of investment-related fraud or misconduct and are currently investigating David Volpe’s alleged private securities transaction policy violations. The firm takes most cases of this type on a contingency fee basis and advance the case costs, and only gets paid for their fees and costs out of money recovered for clients. Attorney Alan Rosca, a securities lawyer and adjunct professor of securities regulation, and has represented thousands of victimized investors across the country and around the world in cases ranging from arbitrations to class actions.
Investors who believe they lost money as a result of David Volpe’s alleged private securities transaction policy violations may contact attorney Alan Rosca for a free no-obligation evaluation of their recovery options, at 888-998-0530, via email at email@example.com, or through the contact form on this webpage.