Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 13, 2017 indicate that Utah-based Girard Securities broker/adviser Brent Lott has received resolved or pending customer disputes and has been named in a FINRA investigation following alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Lott (CRD# 1559744).
Brent Lott has spent 30 years in the securities industry and has been registered with Girard Securities in Orem, Utah since 2013. Previous registrations include LPL Financial in Orem, Utah (2006-2013); AIG Financial Advisors in Orem, Utah (2005-2006); SunAmerica Securities in Phoenix, Arizona (1992-2005); and Copeland Equities in Somerset, New Jersey (1986-1992). He is a registered broker and investment adviser with 11 US states and territories: Arizona, California, Iowa, Kentucky, Nevada, New Mexico, Ohio, Oregon, Texas, Utah and Washington.
According to his BrokerCheck report, he has received one customer complaint and two pending customer complaints, and was recently named in a pending FINRA investigation.
In July 2017 FINRA named him respondent in an investigation into possible violations of FINRA Rule 2010 and 4511. The investigation remains pending.
In 2016 a customer alleged Brent Lott, while employed at LPL Financial, initiated trades without consent. The complaint settled for $50,000.
In 2014 a customer alleged Brent Lott, while employed at LPL Financial, acted in concert with a third party who forged the customer’s signature on contracts. The customer is seeking unspecified damages in the pending complaint.
In 2013 a customer alleged Brent Lott, while employed at LPL Financial, “may be aware that the signatures on the contract delivery receipts are not those of the customer.” The customer is seeking unspecified damages in the pending complaint.
In 2013, he was terminated from his position at LPL Financial following allegations he “submitted indexed annuity applications without meeting or discussing with clients, and violations of the firm’s document signature policy.”
If you or someone you know has lost money investing with Brent Lott, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.