BRETT MATTHEW RAMSEY

BRETT MATTHEW RAMSEY is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 9465 COUNSELORS ROW, #200, INDIANAPOLIS, IN, 46240.

BRETT MATTHEW RAMSEY has worked at LPL FINANCIAL LLC since October 06, 2014

Disclosure History

BRETT MATTHEW RAMSEY has 1 Disclosure Event(s).

Date: January 31, 2017
Category: Customer Dispute
Allegations: Claimant alleges failure to conduct adequate due diligence, resulting in an unsuitable recommendation. The allegations are a result of securities purchases by the Claimant based upon the recommendations and assertions made by the Registered Representative, who is not a named party to the arbitration. These activities are alleged to have occurred in May 2011.
Damage Amount Requested: $40,000.00
Broker Comment: Regarding FINRA docket 17-00168, I am not a named respondent in the matter and I have not been contacted by the firm named as a respondent in the matter for any information regarding this claim. Also, I have not been contacted by the claimant in the matter.The claim is based on a supposed transaction from May 2011, however the specific claim is based on volatility in that security that occurred in 2015 and 2016. I was not affiliated with the firm named as a respondent during the time period of this claim. The statute of limitations in Indiana for claims of this nature is three years from the date of discovery. Representative was no longer affiliated with the firm named as respondent after October of 2014.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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