BRIAN GERALD GARRETT is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 2003 S MYRTLE AVENUE, MONROVIA, CA, 91016.
BRIAN GERALD GARRETT has worked at LPL FINANCIAL LLC since April 19, 2000
Disclosure History
BRIAN GERALD GARRETT has 2 Disclosure Event(s).
Date: February 24, 2017 Category: Customer Dispute Allegations: CUSTOMER ALLEGES INAPPROPRIATE INVESTMENTS AND OPTIONS TRADING IN VOLATILE STOCKS CONCENTRATED IN THE OIL AND ENERGY SECTOR AND INCONSISTENT WITH CUSTOMER'S INVESTMENT OBJECTIVES. ACTIVITY PERIOD - JUNE 2014 TO DECEMBER 2015 Damage Amount Requested: $170,980.00 Settlement Amount: $62,500.00 Broker Comment: I DENY BEING INVOLVED IN THE ALLEGED ACTIVITIES THE CLAIMANT IS CLAIMING. MY INVOLVMENT WITHIN THE CASE IS LIMITED TO THE FACT THAT I INTRODUCED THE CLAIMANT TO [THIRD PARTY] AND HAD LIMITED CONVERSATIONS ABOUT WHAT WAS HAPPENING IN THE ACCOUNT PER THIRD PARTY'S] DIRECTION. I AM NOT A PRODUCING BROKER AS INDICATED IN THE CASE, I AM A LICENSED ASSISTANT WITH LIMITED DUTIES. I HAD NO INVOLVEMENT IN SECURITY SELECTION, INVESTMENT STRATEGIES, PLACING TRADES AND THE SALE OF TRADES DUE TO MARKET FLUCTUATIONS. I ALSO HAD NO CONTRIBUTIONS IN THE SETTLEMENT OF THE CASE WITH LPL OR [THIRD PARTY] AND I AM NOT REQUIRED OR HAVE PAID ANY RESTITUTION THAT IS OWED TO CLAIMANT, LPL OR [THIRD PARTY].
Date: February 21, 1992 Category: Criminal Charges: 3 COUNTS OF BREAKING / ENTERING1 COUNT BURGLARYMISDEAMEANOR FOR EACH CHARGE"NO CONTEST" FOR EACH CHARGE Charge Type: MISDEMEANOR Disposition: A) 1 COUNT (TRESPASSING) 4 COUNTS REDUCED TO 1 COUNTB) 07/17/1992C) TRESPASSINGD) 2 YEARS PROBATION AND RESTITUTIONE) 07/17/1992F) $333.00 Broker Comment: MISUSED FAMILY OWNED ORGANIZATION / FACILITY. ENTERED FACILITY & TOOK PROPERTY WITHOUT PERMISSION. FAMILY DROPPED CHARGES, STATE OF CA DID NOT. CHARGES WERE REDUCED TO TRESPASSING, RESTITUTION AND PROBATION.
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