BRADFORD LEE CORNELL is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 1055 LPL WAY, FORT MILL, SC, 29715.
BRADFORD LEE CORNELL has worked at LPL FINANCIAL LLC since October 15, 2008
Disclosure History
BRADFORD LEE CORNELL has 2 Disclosure Event(s).
Date: May 01, 1987 Category: Regulatory Initiated By: NEW YORK MERCANTILE EXCHANGE Allegations: IT WAS REQUIRED AS AN EXCHANGE MEMBER THAT IFILE A PERSONAL FINANCIAL STATEMENT. THIS WAS NOT FILED ONTIME. MY FINANCIAL OBLIGATIONS WERE MET BY AN UNCONDITIONALGUARANTEE PROVIDED BY MY EMPLOYER (PAINE WEBBER). I APPEALEDBUT WAS DENIED. Resolution: Decision SanctionDetails: Sanctions: Monetary/Fine Sanction Details: A FINE. I DON'T RECALL THE AMOUNT. Broker Comment: I WAS UNAWARE THAT I HAD TO SUBMIT THIS FINANCIALSTATEMENT AND FELT MY "UNCONDITIONAL GUARANTEE" BY MY EMPLOYERWAS SUFFICIENT. THIS RULE WAS ELIMINATED SHORTLY AFTER FOURMEMBERS WHO DID HAVE THIS UNCONDITIONAL GUARANTEE.
Date: January 01, 1985 Category: Regulatory Initiated By: NEW YORK MERCANTILE EXCHANGE Allegations: VIOLATION OF MINOR FLOOR RULES ON NEW YORKMERCANTILE EXCHANGE. I WAS FINED F OR DESTRUCTIVE TRADINGPRACTICES. SUCH VIOLATIONS ARE NOT SUBJECT TO HEARING ORREVIEW. Resolution: Decision SanctionDetails: Sanctions: Monetary/Fine Sanction Details: A FINE. I DON'T RECALL THE AMOUNT Broker Comment: I DO NOT RECALL OR HAVE RECORDS OF THE DATESAND/OR DETAILS OF THIS EVENT. TH E NEW YORK MERCANTILEEXCHANGE HAS INFORMED ME THAT THE MEMBER SERVICES DEPT. DOESNOT KEEP SUCH RECORDS THIS FAR BACK. THIS WAS NOT UNDER THEJURISDICTION OF THE COMPLIANCE DEPT SO THEY HAVE NO RECORD.
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