ANIL SINGH is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 12 EAST 52ND ST, NEW YORK, NY, 10022.
ANIL SINGH has worked at LPL FINANCIAL LLC since May 02, 2016
ANIL SINGH has 5 Disclosure Event(s).
Date: March 08, 2016 Category: Employment Separation After Allegations Firm Name: JPMORGAN SECURITIES LLC Termination Type: Discharged Allegations: Non securities related. Registered Representative requested firm tickets to a professional sporting event for the purpose of entertaining firm clients. RR verified in a firm system that the individuals in attendance at the sporting event were firm clients. RR later admitted the tickets were used for non-client guests.
Date: June 11, 2008 Category: Customer Dispute Allegations: CLIENT ALLEGES MISREPRESENTATION IN CONNECTION WITH A FIXED ANNUITY INVESTMENT. Damage Amount Requested: $13,343.80
Date: June 05, 2008 Category: Customer Dispute Allegations: CLIENT ALLEGES MISREPRESENTATION AND FAILURE TO DISCLOSE RELEVANT INFORMATION RELATING TO THE LIQUIDITY OF AN AUCTION RATE SECURITY. CLIENT HAS REQUESTED THE RETURN OF THEIR INVESTMENT. Damage Amount Requested: $750,000.00 Settlement Amount: $700,000.00 Broker Comment: ON AUGUST 13 AND 14, 2008, JPMORGAN CHASE AGREED TO A SETTLEMENT IN PRINCIPLE WITH THE NEW YORK ATTORNEY GENERAL'S OFFICE, AND THE OFFICE OF FINANCIAL REGULATION FOR THE STATE OF FLORIDA AND THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION TASK FORCE, RESPECTIVELY, WHICH PROVIDED, AMONG OTHER THINGS, THAT THE FIRM WOULD BUY BACK AT PAR CERTAIN AUCTION RATE SECURITIES. AS PART OF THESE SETTLEMENTS, JP MORGAN SECURITIES, INC., PURCHASED BACK FROM ARTIST & IDEA MANAGEMENT LTD ([CUSTOMER]) ARS POSITION(S) AT PAR, IN ADDITION TO PAYING ACCRUED INTEREST ON THE PAR AMOUNT.IN ADDITION, THE CLIENTS OTHER POSITIONS WERE CALLED AND/OR LIQUIDATED AT AUCTION.
Date: December 08, 2006 Category: Regulatory Initiated By: STATE OF NEW YORK INSURANCE DEPARTMENT Allegations: NY DEPARTMENT OF INSURANCE ALLEGED THAT REP VIOLATED SECTION 2123 OF THE NY INSURANCE LAW AND NY DEPARTMENT OF INSURANCE REGULATION 60 BY FAILING TO ACCURATELY DISCLOSE THAT THE ANNUITY PURCHASED WAS A REPLACEMENT OF EXISTING INSURANCE. Resolution: Stipulation and Consent SanctionDetails: Sanctions: Monetary/Fine SanctionDetails: Amount: $750.00 Sanction Details: MONETARY FINE OF $750.00
Date: January 20, 2006 Category: Customer Dispute Allegations: CUSTOMER ALLEGES MISREPRESENTATION IN CONNECTION WITH THE SALE OF A VARIABLE ANNUITY. Damage Amount Requested: $5,600.00 Settlement Amount: $7,678.00
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