BARBARA ANN GINTY is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 60 PEARL STREET, KINGSTON, NY, 12401.
BARBARA ANN GINTY has worked at LPL FINANCIAL LLC since June 07, 2013
Disclosure History
BARBARA ANN GINTY has 1 Disclosure Event(s).
Date: October 25, 2017 Category: Customer Dispute Allegations: Customer alleges misrepresentations with respect to recommendation to move from American Funds to an LPL managed account. Damage Amount Requested: $5,312.00 Settlement Amount: $3,821.00 Broker Comment: THIS MATTER WAS RESOLVED WITHOUT ANY ADMISSION OF LIABILITY (WHICH WAS AND REMAINS DENIED) AND SOLELY AS A BUSINESS DECISION IN ORDER TO BRING THIS MATTER TO CLOSURE, AND WITH NO CONTRIBUTION FROM THE REGISTERED REPRESENTATIVE. THE REGISTERED REPRESENTATIVE DENIES ANY AND ALL WRONGDOING WITH RESPECT TO THIS MATTER.
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