ADAM P MAGUIRE is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 654 WISCASSET ROAD, BOOTHBAY, ME, 04537.
ADAM P MAGUIRE has worked at LPL FINANCIAL LLC since December 16, 2004
Disclosure History
ADAM P MAGUIRE has 2 Disclosure Event(s).
Date: June 30, 2008 Category: Customer Dispute Allegations: REGARDING THE 1999 PURCHASE OF A VARIABLE UNIVERSAL LIFE INSURANCE POLICY, THE CLIENT ALLEGED MISREPRESENTATION CONCERNING SUITABILITY. Broker Comment: THIS MATTER IS BEING REPORTED CONSISTENT WITH FINRA RULES PERTAINING TO THE REPORTING OF CERTAIN WRITTEN CUSTOMER COMPLAINTS. THE COMPANY BY THIS FILING MAKES NO ALLEGATIONS REGARDING THE ACTIONS OF THE REPRESENTATIVE.
Date: April 21, 2005 Category: Customer Dispute Allegations: REGARDING TWO 1998 DISC SEL, THE CLIENTS ALLEGED THE POLICIES WERE UNSUITABLE. THEY FURTHER ALLEGED THE POLICIES WERE TOO AGGRESSIVE. THIS MATTER IS BEING REPORTED BECAUSE THE COMPLAINT HAS ALLEGED NO DOLLAR AMOUNT AND THE FIRM HAS NOT MADE A GOOD FAITH DETERMINATION THAT THE DAMAGES FORM THE ALLEGED CONDUCT WOULD BE LESS THAN $5000. Broker Comment: AGENT MAGUIRE WAS NOT THE WRITING AGENT HOWEVER; HE WAS NAMED IN THE COMPLAINT AS THE SERVICING AGENT. THIS MATTER IS BEING REPORTED CONSISENT WITH THE NASD RULES PERTAINING TO THE REPORTING OF CERTAIN WRITTEN CUSTOMER COMPLAINTS. THE COMPANY BY THIS FILING MAKES NO ALLEGATIONS REGARDING THE ACTIONS OF THE REPRESENTATIVE.
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