CHARLES RANDOLPH EAST is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 773 MOORE ST, BATON ROUGE, LA, 70806-5841.
CHARLES RANDOLPH EAST has worked at LPL FINANCIAL LLC since January 11, 2010
Disclosure History
CHARLES RANDOLPH EAST has 1 Disclosure Event(s).
Date: April 08, 2002 Category: Customer Dispute Allegations: CUSTOMER ALLEGES HIS FINANCIAL ADVISOR RECOMMENDED HE PURCHASE AN UNSUITABLE BOND FUND. NO SPECIFIC DAMAGE AMOUNT ALLEGED. Broker Comment: CUSTOMER INITIALLY PURCHASED THE ML SENIOR FLOATING RATE FUND AT ISSUE IN JUNE 1998, ALMOST FOUR (4) YEARS PRIOR TO VOCING ANY CONCERNS WITH THIS INVESTMENT BEING UNSUITABLE. AFTER HAVING NOTED HIS SATISFACTION WITH THE INVESTMENT ON MAY 30, 2000, CUSTOMER PURCHASED ADDITIONAL SHARES. HE MADE FURTHER PURCHASES OF THE FUND ON SEPTEMBER 26, 2000, JULY 27, 2001 AND SETPTEMBER 27, 2001. WITH EACH PURCHASE OF THIS FUND CUSTOMER RECEIVED A PROSPECTUS THAT DISCLOSED IN DETAIL THE NATURE OF THE INVESTMENT.
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