ALBERT LARRY LOCK is currently employed as a Broker and/or Investment Adviser at SECURITIES AMERICA, INC. located at 333 SOUTH KIRKWOOD ROAD, SUITE 301, SAINT LOUIS, MO, 63122.

ALBERT LARRY LOCK has worked at SECURITIES AMERICA, INC. since July 09, 2015

Disclosure History

ALBERT LARRY LOCK has 1 Disclosure Event(s).

Date: April 29, 2016
Category: Customer Dispute
Allegations: Client alleges the representative misrepresented that plan contributions were optional and not mandatory.
Damage Amount Requested: $5,000.00
Settlement Amount: $9,500.00
Broker Comment: Representatives did not give any instructions pertaining to voluntary contributions. For the last 20 years, the owner(s) had consulted the third party administrator or accountant for directions on contributions and deductions not the representatives. Without admitting any liability, representatives agreed to settle with the client.

More Information

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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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