Complaint Against Stephen Joseph Kipp

Stoltmann Law Offices is investigating Stephen Joesph Kipp and his firm, National Planning Coporation (NPC). The Financial Industry Regulatory Authority (FINRA) received a complaint regarding Kipp’s handling of one of his customer accounts. NPC contacted a registered representative about his review and approval of the customer’s account and transactions. NPC received a written response from the customer stating that he had not reviewed the customer’s new account form nor the order memoranda relating to the customer’s transactions. The investigation into it revealed that Julie Ann Pritchard had put the signatures on the customer’s account. The complaint also indicated that Kipp authorized Pritchard to sign his name, who signed it to at least 160 separate documents that were intended to become business records of the firm. Pritchard was Kipp’s administrative assistant at the NPC. By signing the 160 documents, they became inaccurate for reporting purposes. For this, Stephen Joseph Kipp was suspended for 20 days from any FINRA member firm in any capacity and fined $8,000. NPC can be sued to recover financial losses. Please call us to find out how at 312-332-4200. Our attorneys take cases on a contingency fee basis and we concentrate on recovering investment losses for investors.

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