Brian Shannon McGuigan is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 55 Ponemah Rd, Amherst, NH, 03031.
Brian Shannon McGuigan has worked at LPL FINANCIAL LLC since June 07, 2016
Disclosure History
Brian Shannon McGuigan has 1 Disclosure Event(s).
Date: April 28, 2009 Category: Customer Dispute Allegations: THE CLIENT STATES THE FA ADVISED HIM THE STOP LOSS ORDER HELPED PROTECT HIM IF THE VALUE OF THE SECURITY DECREASED. HE STATES THE FA DID NOT EXPLAIN THE ORDER COULD FILL LESS THAN THE STOP PRICE. THE CLIENT STATES HE WAS NOT AWARE THE ORDER COULD FILL AT 60% LESS THAN THE STOP PRICE. Damage Amount Requested: $5,000.00 Settlement Amount: $44,263.29 Broker Comment: UPON REVIEW OF THE ACTIVITY IN THE CLIENTS' ACCOUNTS, IT WOULD APPEAR THAT BASED ON THEIR PRESENT RESIDENCY SITUATION BEING OUTSIDE OF THE UNITED STATES, THE TRADES PLACED IN THE ABOVE ACCOUNTS SHOULD NOT HAVE OCCURRED. THEREFORE, WE ARE OFFERING TO CANCEL ALL THE TRADES PLACED IN THE JOINT ACCOUNT. FOR THE JOINT ACCOUNT, THIS INCLUDES THE PURCHASES AND LIQUIDATIONS OF BANK OF AMERICA CORP, COCA COLA CO., DENDREON CORP, MDU RESOURCES GROUP, PFIZER INC., AND WALT DISNEY. IF OUR OFFER IS ACCEPTED, ALL THE TRADES WILL BE CANCELLED AND THE AMOUNT ORIGINALLY INVESTED WILL BE CREDITED TO THE ACCOUNTS. PLEASE BE ADVISED THAT OUR OFFER COVERS ALL OF THE TRADES THAT HAVE TAKEN PLACE AND CANNOT BE PIECEMEAL IN NATURE. THE CLIENT HAS BEEN SENT A SETTLEMENT OF CLAIM, WHICH NEEDS TO BE SIGNED WITHIN 30 DAYS. THE CLIENT HAS ACCEPTED THE OFFER AND THE TRADES IN THE JOINT ACCOUNT WERE CANCELLED.
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