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
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.
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.
To view the full report for BRIAN GERALD GARRETT, click here.
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.
How to choose a broker or investment adviser. Learn More