Courtney Michelle Kaplan (also known as Courtney Michelle Carlsen, Courtney Michelle Ingram, and Courtney Ingram Yarmesch) of Tampa Florida a stockbroker formerly registered with Wells Fargo Clearing Services has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on findings that she failed to comply with a FINRA investigation concerning allegations of her unauthorized activities including borrowing from a customer of Wells Fargo. Letter of Acceptance Waiver and Consent No. 2021071439701 (September 30, 2021).
According to the AWC, Kaplan’s registration with Wells Fargo was terminated on May 19, 2021. The securities broker dealer relayed to FINRA through a Form U5 that Kaplan was accused by a customer’s daughter of borrowing the customer’s funds and of Kaplan and her husband having been listed as the customer’s beneficiary under the terms of their will.
FINRA reached out to Kaplan on July 23, 2021, as part of its investigation into the matter. She was asked by FINRA to provide documents and information so the regulator could evaluate whether Kaplan violated FINRA rules through her activities with the customer. Kaplan was asked to respond by August 6, 2021. Kaplan indicated that she would provide no information or documents relating to the investigation at any point. Kaplan failed to comply with FINRA’s deadline.
Another request for Kaplan’s documents and information was made by FINRA on August 26, 2021. Kaplan was asked to comply by September 2, 2021. But on that day, Kaplan informed FINRA that she would not cooperate. Nothing was ever provided by Kaplan in response to FINRA’s requests. She violated FINRA Rules 2010 and 8210 for this reason.
Kaplan was associated with Cetera Investment Services LLC between April 13, 2016, and July 3, 2017, Wells Fargo Clearing Services between June 30, 2017, and March 14, 2019, and LPL Financial between March 11, 2019, and July 22, 2021.
