CHARLES LAWRENCE FAHY is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 3120 SOUTHWEST FRWY, SUITE 500, HOUSTON, TX, 77098.
CHARLES LAWRENCE FAHY has worked at LPL FINANCIAL LLC since October 15, 2004
Disclosure History
CHARLES LAWRENCE FAHY has 2 Disclosure Event(s).
Date: February 21, 1990 Category: Customer Dispute Allegations: CUSTOMER ALLEGES UNSUITABILITY, FAILURE TODISCLOSE RISK; MISREPRESENTATION; FRAUD; FAILURE TO INFORM ANDFAILURE TO FOLLOW INSTRUCTIONS, IN ACCOUNT WITH OPPENHEIMER &CO. Damage Amount Requested: $300,000.00 Damages Granted: $17,000.00 Broker Comment: ARBITRATIONS DECIDED TO AWARD CLAIMANT$11,000.00, PLUS $6,000.00 IN ATTORNEY'S FEES. COST TO BEEQUALLY DIVIDED BETWEEN RESPONDENTS. ALL OTHER CLAIM DAMAGESDENIED.THIS CASE WAS AGAINST (BROKER) JOHN R. PHILLIPS.I WAS ONLY A WITNESS AND COMPANY REPRESENTATIVE AT THEARBITRATIONS. I DON'T SEE WHY IT IS ON MY RECORD.
Date: February 16, 1988 Category: Customer Dispute Allegations: [CUSTOMERS] ALLEGE THAT, INTER ALIA, THEY WERE UNSUITABLE FOR A MANAGED COMMODITIES PROGRAM RECOMMENDED TO THEM BY CHARLES FAHY, [THIRD PARTY] AND [THIRD PARTY] IN 1983. Damage Amount Requested: $30,000.00 Settlement Amount: $18,500.00 Broker Comment: OPPENHEIMER DENIED LIABILITY IN THIS MATTER BUT SETTLED IN THE INTEREST OF GOODWILL AND TO AVOID ADDITIONAL LITIGATION EXPENSES.
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