BRIAN LEE BOEHLE is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 13358 MANCHESTER RD, SUITE 200, DES PERES, MO, 63131.
BRIAN LEE BOEHLE has worked at LPL FINANCIAL LLC since August 17, 2015
Disclosure History
BRIAN LEE BOEHLE has 2 Disclosure Event(s).
Date: February 09, 2009 Category: Customer Dispute Allegations: 4/17/08; CLIENT STATES THE FA CONTACTED HER TO REINVEST FUNDS FROM MATURED SECURITIES AND SHE SPECIFICALLY INSTRUCTED HIM TO PURCHASE A CERTIFICATE OF DEPOSIT. CLIENT CLAIMS INSTEAD THE FA PURCHASE SHARES OF A MUTUAL FUND (FHTFX). CLIENT INDICATED AFTER RECEIVING STATEMENTS REFLECTING CONTINUOUS LOSSES SHE REALIZED THE FA HAD PURCHASE A MUTUAL FUND INSTEAD OF A CD. CLIENT TRANSFERRED HER ACCOUNT TO ANOTHER FIRM AND SOLD THE MUTUAL FUND CLAIMING A LOSS OF $7,634.60. Damage Amount Requested: $5,000.00 Broker Comment: THE FA CONTENDS HE RECEIVED A VALID BUY ORDER FROM THE CLIENT FOR THE MUTUAL FUND PURCHASED ON 4/17/08. THE FA HAS INDICATED HE DISCUSSED THE FUND AT LENGTH WITH THE FA SPECIFICALLY EXPLAINING PRODUCT INFORMATION, FEES AND COMMISSIONS ASSOCIATED WITH THE PRODUCT. AT THE CLIENT'S REQUEST THE FA DISCUSSED THE INVESTMENT WITH THE CLIENT'S BROTHER WHO APPEARS TO HAVE BELIEVED THIS WAS A SUITABLE INVESTMENT FOR THE CLIENT. THE BOA HAS INDICATED HER NORMAL COURSE OF BUSINESS IS TO MAIL A CONFIRMATION AND TRADE CONFIRMATION ON THE DAY THE TRADE IS PLACED. THE BOA HAS INDICATED SHE HAS NEVER HAD AN ISSUE WITH TIMELY MAILING OF CONFIRMATIONS. BASED ON OUR REVIEW, IT IS OUR OPINION, THAT THE CLIENT DID IN FACT PLACE THE BUY ORDER AND THAT THE DECISION WAS WELL INFORMED.
Date: November 01, 1995 Category: Criminal Charges: I WAS CHARGED WITH ONE COUNT OF MISDEMEANOR STEALING UNDER $150. I PLED GUILTY. Charge Type: MISDEMEANOR Disposition: A. THE CHARGE WAS DISMISSED B. MARCH 5, 1997I AM LOOKING FOR DOCUMENTATION FROM THE COURTS. Broker Comment: ON NOVEMBER 1, 1995, I EXITED A WAL-MART STORE WITHOUT PAYING FOR SOME BASEBALL TRADING CARDS($12-$15 VALUE). I WAS CHARGED FOR MISDEMEANOR STEALING UNDER $150. ON MARCH 5, 1997 THE CHARGES WERE DISMISSED. I AM LOOKING FOR DOCUMENTATION FROM THE COURTS
More Information
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