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
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.
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for ADAM P MAGUIRE, click here.
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.
How to choose a broker or investment adviser. Learn More