BRIANT GERARD SIKORSKI is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 101 TRANQUIL SOUND DRIVE, Cary, NC, 27519.
BRIANT GERARD SIKORSKI has worked at LPL FINANCIAL LLC since December 14, 2012
Disclosure History
BRIANT GERARD SIKORSKI has 2 Disclosure Event(s).
Date: January 16, 2009 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT THE FINANCIAL ADVISOR FAILED TO FOLLOW INSTRUCTION REGARDING A PURCHASE ORDER AND MADE MISREPRESENTATIONS. DAMAGES UNSPECIFIED. Broker Comment: THE CLAIM HAS BEEN DENIED AND IS BELIEVED TO BE WITHOUT MERIT.
Date: February 02, 2007 Category: Customer Dispute Allegations: CLIENT STATES THEY OWNED SHARES OF VANGUARD HEALTH FUND AND WANTED TO SELL IT SLOWLY TO AVOID CAPITAL GAINS TAXES. CLIENT STATES SEVERAL DAYS LATER WITHOUT ASKING OR NOTIFYING THEM, FA SOLD $107,000 WORTH OF THE FUND CREATING A CAPITAL GAIN OF $55,688 CAUSING THEM TO PAY APPROXIMATELY $8353 IN ADDITIONAL TAXES. CLIENT IS REQUESTING REIMBUSEMENT OF TAXES. Damage Amount Requested: $8,353.00 Settlement Amount: $6,000.00 Broker Comment: FA HAS INDICATED THAT IN JULY 2006 HE MET WITH BOTH OF THE CLIENT TO REVIEW THEIR EXISTING PORTFOLIO AND DISCUSSED THEIR INVESTMENT OBJECTIVES. IT IS OUR UNDERSTANDING HE PUT TOGETHER A SUGGESTED PORTFOLIO AND MET AGAIN WITH THE CLIENTS IN AUGUST 2006. FA HAS STATED THE ACCOUNT WAS OPENED IN DECEMBER 2006 AT WHICH TIME THE CLIENT'S BEGAN MAKING CHANGES TO THEIR PORTFOLIO. FA HAS STATED THAT AT THE TIME OF THE SALE OF THE VANGUARD, THE CLIENT'S PROVIDED HIM WITH COST BASIS INFORMATION THAT AT THAT TIME WAS BELIEVED TO BE CORRECT. FA HAD INDICATED THAT AT THE TIME THE DECISION WAS MADE TO SELL, HE DID DISCUSS SOME OF THE TAX IMPLICATIONS, BUT CONTENDS HE DID INFORM THE CLIENTS THAT THEY SHOULD SEEK THE ADVICE OF THEIR TAX PROFESSIONAL FOR FURTHER DETAILS. BASED ON OUR INVESTIGATION, WE HAVE NO REASON TO BELIEVE THAT THE FA'S RECOMMENDATIONS WERE INAPPROPRIATE BASED ON THE INFORMATION AVAILABLE AT THAT TIME. THE REQUEST FOR COMPENSATION WAS DENIED.
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