{"id":10133,"date":"2021-08-23T15:14:31","date_gmt":"2021-08-23T19:14:31","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=10133"},"modified":"2021-08-23T15:20:35","modified_gmt":"2021-08-23T19:20:35","slug":"broker-david-volpe-permanently-barred-amid-allegations-of-misappropriation-of-client-funds","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/broker-david-volpe-permanently-barred-amid-allegations-of-misappropriation-of-client-funds\/","title":{"rendered":"Broker David Volpe Permanently Barred Amid Allegations Of Misappropriation Of Client Funds"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-10134 size-full\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/08\/David-Volpe.jpg\" alt=\"David Volpe (David John Volpe CRD# 2543478) is a former registered broker who has previously worked for First Financial Equity Corporation, LPL Financial LLC, and National Planning Corporation, all in Scottsdale, Arizona. Volpe began his career in the securities industry in 1996. David Volpe Discharged From Firms For Improper Private Transactions &amp; Borrowing From Customers According to Volpe\u2019s BrokerCheck Report, published by the Financial Industry Regulatory Authority (FINRA), Volpe has been discharged from two different brokerage firms: In December 2018, Volpe was discharged from LPL for an alleged \u201cviolation of the Firm\u2019s private securities transactions policy for involvement in capital-raising efforts without prior disclosure.\u201d Similarly, in April 2019, Volpe was discharged from First Financial for an alleged \u201cfailure to notify firm of private securities transaction involvement and violation of firm policy regarding borrowing funds from a client.\u201d Following these discharges, Volpe was investigated FINRA. According to FINRA\u2019s Letter of Acceptance, Waiver and Consent, Volpe failed to respond to FINRA\u2019s request for information and documents, resulting in \u201ca bar from associating with any FINRA member firm in any capacity.\u201d\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/08\/David-Volpe.jpg 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/08\/David-Volpe-180x120.jpg 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>David Volpe (<a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/2543478\" target=\"_blank\">David John Volpe CRD# 2543478<\/a>) is a former registered broker who has previously worked for First Financial Equity Corporation, LPL Financial LLC, and National Planning Corporation, all in Scottsdale, Arizona. Volpe began his career in the securities industry in 1996. <a href=\"https:\/\/www.silverlaw.com\/blog\/broker-david-volpe-permanently-barred-amid-allegations-of-misappropriation-of-client-funds\/#more-10133\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>David Volpe (David John Volpe CRD# 2543478) is a former registered broker who has previously worked for First Financial Equity Corporation, LPL Financial LLC, and National Planning Corporation, all in Scottsdale, Arizona. Volpe began his career in the securities industry in 1996. Continue reading \u203a<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[591,580],"tags":[],"class_list":["post-10133","post","type-post","status-publish","format-standard","hentry","category-misappropriation","category-stockbroker-misconduct"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>David Volpe Permanently Barred-Allegations Of Misappropriation<\/title>\n<meta name=\"description\" content=\"David Volpe is a former broker who has previously worked for First Financial Equity, LPL, and National Planning Corp., in Scottsdale, AZ.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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