CHARLOTTE S ADCOCK

CHARLOTTE S ADCOCK is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 133 S DIAMOND KEY CT, GILBERT, AZ, 85233.

CHARLOTTE S ADCOCK has worked at LPL FINANCIAL LLC since October 09, 2009

Disclosure History

CHARLOTTE S ADCOCK has 3 Disclosure Event(s).

Date: March 07, 2013
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: March 07, 2013
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: February 11, 2009
Category: Customer Dispute
Allegations: CLIENT ALLEGED THAT THE FINANCIAL ADVISOR FAILED TO FOLLOW HIS INSTRUCTIONS TO PLACE INCOME BENEFIT RIDER ON CONTRACT. NO SPECIFIC DAMAGES ALLEGED. ACTIVITY DATES - 5/2007 THROUGH 2/2009.
Broker Comment: REPRESENTATIVE BELIEVES THIS COMPLAINT WAS FILED IN ERROR AS A TRADE ERROR WAS CORECTED AND NOT A SALES PRACTICE VIOLATION. MERRILL LYNCH WORKED WITH INSURANCE COMPANY TO CORRECT THE CONTRACT. MERRILL LYNCH PAID THE INSURANCE COMPANY $66,632.71 TO CORRECT IT.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

To view the full report for CHARLOTTE S ADCOCK, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.