Articles Tagged with Stephen Joseph Kipp

Stoltmann Law Offices is investigating Stephen Joseph Kipp, a former advisor with NPB Financial Group. Kipp is accused of misrepresenting material facts related to an investment, breaching fiduciary duty and breaching contract. Kipp was registered with Bretcourt Securities Corporation from March 1984 until May 1984, Dean Witter Reynolds from July 1984 until September 1987, Bateman Eichler, Hill Richards, Inc. from September 1987 until March 1990, Associated Securities Corp in Boston, Massachusetts from March 1990 until February 2000, National Planning Corp in Ventura, California from January 2000 until August 2010, and NPB Financial Group in Ventura from August 2010 until July 2015. He is currently registered with NPB Financial in Ventura and has been since August 2015. If you would like to sue Stephen Joseph Kipp for investment losses, please call our securities law firm at 312-332-4200 to speak with an attorney.

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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