CARMELLO ANTONIO BUSCEMI is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 29122 RANCHO VIEJO RD STE 105, SAN JUAN CAPISTRANO, CA, 92675-1019.
CARMELLO ANTONIO BUSCEMI has worked at LPL FINANCIAL LLC since December 04, 2008
Disclosure History
CARMELLO ANTONIO BUSCEMI has 1 Disclosure Event(s).
Date: October 19, 2001 Category: Customer Dispute Allegations: CLIENT ALLEGES FINANCIAL CONSULTANT DID NOT DISCLOSE RISK ASSOCIATED WITH THE INVESTMENT SHE PURCHASED ON MAY 31, 2000. Damage Amount Requested: $5,000.00 Settlement Amount: $2,000.00 Broker Comment: THE INVESTIGATION REVEALED THAT THE CLIENT SIGNED DOCUMENTATION ACKNOWLEDGING THE RISKS ASSOCIATED WITH THE INVESTMENT. ALTHOUGH IT APPEARS THAT FULL AND FAIR DISCLOSURE WAS PROVIDED, THE COMPLAINT WAS SETTLED AS A GOODWILL GESTURE.
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