Allegations Regarding Kirt Carstens’s BrokerCheck Report

BrokerCheck discloses that Kirt Carstens has been the subject of five customer complaints.  The most recent complaint was made in May 2026.

The complaint alleges that a customer lost nearly $380,000 in a “non-traded preferred stock” recommended by Carstens.  The customer alleges that the investment was highly concentrated.

Background on Kirt Carstens

Kirt Carstens had been licensed with CreativeOne Securities since 2011 at an Arnolds Park, Iowa office.  The other four customer complaints made against Carstens were made between 2002 and 2007.

Can CreativeOne Securities Be Responsible for Carstens’s Conduct?

Under FINRA Rule 3110, broker-dealers like CreativeOne Securities must reasonably supervise the activity of its advisors.  CreativeOne Securities could be responsible for investor losses if it failed to reasonably supervise him.

Israels & Neuman Recovers Money for Investors Nationwide, Including in Iowa

We represent investors throughout Iowa, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud.  If you were a client of Kirt Carstens and believe your financial advisor acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Carstens’s BrokerCheck Report

Contact Us for a Free Case Evaluation

Call us today at (720) 599-3505 or (206) 795-5798 or fill out our contact form to learn more about your rights. We have experience representing Iowa investors and are ready to help you recover what you deserve.

Allegations Regarding Jayme Lemaire’s Suspension

FINRA investigated Lemaire regarding allegations that she  borrowed money from a firm customer.  Generally, advisors cannot borrow money from customers, with limited exceptions.  Moreover, advisors must get pre-approval from their firms to borrow money from a customer.  FINRA also alleged that she refused to cooperate with FINRA’s investigation.

As such, FINRA barred Lemaire from the securities brokerage industry. 

Background on Jayme Lemaire

Jayme Lemaire was licensed with Raymond James Financial from April 2021 to July 2025 at a Glastonbury, Connecticut office.  Lemaire was previously licensed with a number of other firms going back to 2001.  Lemaire was also the subject of five customer complaints, and she was also fined by the Connecticut Securities Commissioner.

Can Raymond James Financial Be Responsible for Lemaire’s Conduct?

Under FINRA Rule 3110, broker-dealers like Raymond James Financial must reasonably supervise the activity of its advisors.  Raymond James Financial could be responsible for investor losses if it failed to reasonably supervise him.

Israels & Neuman Helps Investors Nationwide, Including in Connecticut

We represent investors throughout the United States as well as Connecticut, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud.  We have represented numerous investors in Connecticut in the past.  If you were a client of Jayme Lemaire and believe your financial advisor acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Lemaire’s BrokerCheck Report
• View Lemaire’s FINRA AWC

Contact Us for a Free Case Evaluation

Call us today at (720) 599-3505 or (206) 795-5798 or fill out our contact form to learn more about your rights. We have experience representing Connecticut investors and are ready to help you recover what you deserve.

Did you lose money investing with financial advisor Derek Copeland in Charlotte, North Carolina? Our securities arbitration law firm is looking into a regulatory investigation made by FINRA against this advisor, who was previously a representative of LPL Financial.

FINRA’s AWC shows that Copeland engaged in numerous private securities transactions, which means that he was recommending the purchase of numerous investments without permission from his brokerage firm, LPL.  FINRA alleged that he engaged in 74 private securities transactions between 2020 and 2023 into 11 different companies, including a flooring company, real estate, a mobile home park, and a furniture retailer. FINRA barred him from the industry regarding these allegations.

Derek Copeland was registered with LPL Financial from 2015 to December 2024 and worked in Charlotte, North Carolina.  Additionally, Copeland has been the subject of three customer complaints between 2022 and 2024, and was also terminated by LPL Financial in December 2024.

Israels & Neuman represents victims of investment fraud in North Carolina and throughout the country in cases involving financial advisors, securities brokerage firms, and investment advisory firms.

View FINRA AWC HERE

View BrokerCheck Report HERE

If you lost money with Derek Copeland or LPL Financial, contact the law firm of ISRAELS & NEUMAN at (616) 280-4303 or (206) 795-5798 for a Free evaluation of your case.