CAROL ANN HOLESHA is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 7630 N. GREENVIEW AVE. #1, CHICAGO, IL, 60626.
CAROL ANN HOLESHA has worked at LPL FINANCIAL LLC since September 08, 2009
Disclosure History
CAROL ANN HOLESHA has 1 Disclosure Event(s).
Date: March 17, 1993 Category: Customer Dispute Allegations: SUITABILITY; ACCOUNT RELATED-NEGLIGENCE;BRCH OF FIDUCIARY DT; OMISSION OF FACTS Damage Amount Requested: $1,000,000.00 Broker Comment: AN AWARD WAS RENDERED BY THE ARBITRATORS FOR $200000.00. THIS AWARD WAS LATER VACATED BY THE ILLINOIS COURT. A SECOND NASD AWARD FOR $72822.00 WAS REJECTED BY THE CLAIMANTS WHO THEN AGREED TO A $150000.00 SETTLEMENT DISMISSING ALL CLAIMS AND ALLEGATIONS.
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