BRIAN HUGH MCKEEVER is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 28535 F B FOWLER CT, BONITA SPRINGS, FL, 34135-0401.
BRIAN HUGH MCKEEVER has worked at LPL FINANCIAL LLC since May 09, 2003
Disclosure History
BRIAN HUGH MCKEEVER has 1 Disclosure Event(s).
Date: January 22, 2007 Category: Regulatory Initiated By: STATE OF NEW YORK INSURANCE DEPARTMENT Allegations: STATE INSURANCE DEPARTMENT ALLEGED THAT, WHILE REGISTERED WITH PRUDENTIAL SECURITIES IN 1999, ADVISOR FAILED TO OBTAIN REQUIRED EXCHANGE PAPERWORK ON FOUR VARIABLE ANNUITY TRANSACTIONS DUE TO INADEQUATE TRAINING AND INSTRUCTION BY PRUDENTIAL SECURITIES. Resolution: Stipulation and Consent SanctionDetails: Sanctions: Civil and Administrative Penalty(ies)/Fine(s) SanctionDetails: Amount: $1,500.00 Broker Comment: FOUR 1999 VARIABLE ANNUITY TRANSACTIONS WERE REVIEWED BY STATE OF NEW YORK INSURANCE DEPARTMENT IN CONNECTION OF INVESTIGATION OF PRUDENTIAL SECURITIES. INSURANCE DEPARTMENT CONCLUDED THAT ADVISOR DID NOT OBTAIN REQUIRED EXCHANGE PAPERWORK FOR THESE TRANSACTIONS, BUT STIPULATED AND AGREED THAT ADVISOR'S FAILURE TO OBTAIN REQUIRED PAPERWORK WAS THE RESULT OF INADEQUATE TRAINING AND INSTRUCTION BY PRUDENTIAL SECURITIES DURING HIS FIRST YEAR AS A REGISTERED REPRESENTATIVE (1998-1999).
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