ANDRE KAPULENUI KALUNA is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 12429 W. Jefferson St, Avondale, AZ, 85223.
ANDRE KAPULENUI KALUNA has worked at LPL FINANCIAL LLC since December 16, 2010
Disclosure History
ANDRE KAPULENUI KALUNA has 4 Disclosure Event(s).
Date: April 25, 2018 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT FROM APRIL 2017 THROUGH DECEMBER 2017, ADVISOR FAILED TO FOLLOW INSTRUCTIONS BY LEAVING A SIGNIFICANT AMOUNT OF CUSTOEMER'S ACCOUNT IN CASH RATHER THAN FULLY INVESTING IN A PROPOSED GROWTH PORTFOLIO OF EXCHANGE TRADED FUNDS. Damage Amount Requested: $36,451.00
Date: March 07, 2011 Category: Customer Dispute Allegations: CLIENT ALLEGES FAILURE TO FOLLOW INSTRUCTIONS WITH RESPECT TO LIQUIDATION OF MANAGED ACCOUNT 5/28/2008-10/27/2008. Damage Amount Requested: $100,000.00
Date: November 15, 2004 Category: Customer Dispute Allegations: CUSTOMER ALLEGES, INTER ALIA, UNSUITABLE INVESTMENT RECOMMENDATIONS. Damage Amount Requested: $51,000.00 Broker Comment: MR. KALUNA STRONGLY DENIES ANY WRONGDOING.
Date: April 21, 2003 Category: Customer Dispute Allegations: ALLEGING SUITABILITY AND TWISTINGALLEGED DAMAGES - UNSPECIFIED
More Information
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