AMBER R STREAM is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 4041 RUSTON WAY STE 102, TACOMA, WA, 98402-5300.
AMBER R STREAM has worked at LPL FINANCIAL LLC since April 18, 2012
Disclosure History
AMBER R STREAM has 4 Disclosure Event(s).
Date: June 17, 2012 Category: Customer Dispute Allegations: THE CUSTOMER ALLEGES FAILURE TO FOLLOW INSTRUCTIONS AND OMISSION OF MATERIAL FACTS FROM APRIL 2011 TO MAY 2012.
Date: March 28, 2011 Category: Customer Dispute Allegations: THE CUSTOMER ALLEGES UNAUTHORIZED TRADING AND UNSUITABLE INVESTMENT RECOMMENDATIONS. COMPENSATORY DAMAGES ARE NOT SPECIFIED.
Date: April 30, 2008 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT SHE WAS GIVEN POOR INVESTMENT ADVICE. CLIENT REQUESTS WAIVER OF SURRENDER CHARGES. Damage Amount Requested: $7,200.00 Broker Comment: THE CLIENT'S ALLEGATIONS WERE FOUND TO BE WITHOUT MERIT AND THE COMPLAINT WAS DENIED.
Date: November 27, 2001 Category: Customer Dispute Allegations: CUSTOMER ALLEGED THAT MS. STROUD MISREPRESENTED HIS INVESTMENT IN CONSULTS. Damage Amount Requested: $13,000.00 Broker Comment: MERRILL LYNCH FOUND THAT CUSTOMER WAS PROPERLY INFORMED REGARDING HIS INVESTMENT IN CONSULTS.
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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