ADAM JASON SOLOFF is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 20 ROY LN, HUNTINGDON VALLEY, PA, 19006-3112.
ADAM JASON SOLOFF has worked at LPL FINANCIAL LLC since October 27, 2006
Disclosure History
ADAM JASON SOLOFF has 1 Disclosure Event(s).
Date: June 12, 2000 Category: Customer Dispute Allegations: ENTERING ORDER FOR SHORT SALE OF 1000 CHKP ON JUNE 07, 2000. CUSTOMER ALLEGES SHORT SALE WAS FOR 500 SHARES. A GOOD FAITH DETERMINATION AS TO THE AMOUNT OF DAMAGES IS DIFFICULT DUE TO MARKET FLUCTUATION HOWEVER AT THIS TIME IT HAS BEEN DETERMINED THAT A BUY BACK OF 500 SHARES WOULD RESULT IN A LOSS IN EXCESS OF $5000.00 Damage Amount Requested: $5,000.00 Broker Comment: THE TRADE FOR 1000 SHARES WAS READ BACK AND CONFIRMED WITH THE CUSTOMER PRIOR TO EXECUTION. THE TRADE EXECUTION WAS ALSO CONFIRMED WITH THE CUSTOMER. THE CUSTOMER BOUGHT BACK AND COVERED THE 1000 SHARE SALE POSITION ON JUNE 23, 2000 AT 211 1/4. THE CUSTOMER FILED AN ARBITRATION CLAIM ON OCTOBER 12, 2000 (RECEIVED BY THE FIRM ON NOVEMBER 08, 2000). MR. SOLOFF WAS NOT NAMED AS A RESPONDENT TO THE ARBITRATION CLAIM.
More Information
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 JASON SOLOFF, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.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 Removal
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.