ANTHONY FRANKLIN ARTERO

ANTHONY FRANKLIN ARTERO is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 11545 West Bernardo Court, Suite 203, San Diego, CA, 92127.

ANTHONY FRANKLIN ARTERO has worked at LPL FINANCIAL LLC since June 09, 2016

Disclosure History

ANTHONY FRANKLIN ARTERO has 3 Disclosure Event(s).

Date: November 21, 2012
Category: Customer Dispute
Allegations: CLAIMANT ALLEGES UNSUITABILITY, CHURNING, AND IRREGULARITIES IN COMMISSIONS AND ACCOUNT MAINTENANCE.
Damage Amount Requested: $400,000.00
Broker Comment: CLAIM WAS WITHDRAWN BECAUSE I WAS NOT THE ADVISOR WHO WAS RESPONSIBLE FOR MAKING THE INVESTMENT RECOMMENDATIONS, THEREFORE THE COMPLAINT WAS NOT APPLICABLE.

Date: March 05, 2009
Category: Customer Dispute
Allegations: CLIENT ALLEGES RR GROSSLY MISMANAGED HIS FUNDS, DID NOT PUT HIS INTEREST FIRST AND DID NOT INFORM THE CLIENT TO REALLOCATE FUNDS TO A SAFE PLACE UNTIL MARKET REBOUND.
Damage Amount Requested: $460,000.00

Date: October 28, 2008
Category: Customer Dispute
Allegations: CLIENTS ARE ALLEGING 1.) FAILURE TO SUPERVISE; AND 2.) BREACH OF FIDUCIARY DUTY IN CONNECTION WITH THE FAILURE TO EXECUTE STOP-LOSS ORDERS BETWEEN JUNE AND DECEMBER 2008.
Damage Amount Requested: $24,631.00
Settlement Amount: $18,000.00
Broker Comment: THE MATTER WAS SETTLED FOR BUSINESS CONSIDERATIONS IN ORDER TO AVOID THE COST OF ARBITRATION.

More Information

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