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Emory Gary: LPL Terminates Rep Over Alleged Failure to Disclose Beneficiary Status

Emory Gary

Publicly available records published by the Financial Industry Regulatory Authority and accessed on June 18, 2019 indicate that former Kentucky-based LPL Financial broker/adviser Emory Gary was discharged from a former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Gary (CRD# 600703).

Emory Gary has spent 49 years in the securities industry and was most recently registered with LPL Financial in Louisville, Kentucky (2017-2019). Previous registrations include American Portfolios Financial Services in Louisville, Kentucky (2002-2017); Nathan & Lewis Securities in New York, New York (1996-2002); MFI Investments in Bryan, Ohio (1994-1996); Prudential Retirement Services in Newark, New Jersey (1993-1994); Alexander Investment Services in Louisville, Kentucky (1980-1994); Canada Life of America Financial Services in Greenwood Village, Colorado (1991-1993); Prudential Asset Management Company Securities Corporation in Newark, New Jersey (1992-1993); the Prudential Insurance Company of America in Newark, New Jersey (1988-1992); Provident Marketing Corporation (1977-1989); Pruco Securities Corporation (1982-1986); the Prudential Insurance Company of America (1975-1986); Pebsco Securities Corporation (1976-1977); and PLA Securities Corporation (1970-1977). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on February 28, 2000; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 11, 1994; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 1 (Registered Representative Examination), which he obtained on June 12, 1970; Series 51 (Municipal Fund Securities Principal Examination), which he obtained on March 31, 2003; and Series 24 (General Securities Principal Examination), which he obtained on July 3, 1997. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one customer complaint and was terminated from a former employer in connection to alleged rule violations.

In May 2019 he was terminated from his position at LPL Financial in connection to allegations he failed to disclose his status as the beneficiary of a client’s estate.

In 2005 a customer alleged Emory Gary, while employed at Nathan & Lewis, made unsuitable investment recommendations, misrepresented and omitted material facts related to a corporate bond investment, breached his fiduciary duty, and breached contract. The complaint settled for $45,000.

If you have lost money investing with Emory Gary, you may be able to recover your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis: Fitapelli Kurta only gets paid if and when you collect funds. 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.