CHRISTOPHER RYAN HORNE is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 1213 CULBRETH DR., WILMINGTON, NC, 28405.
CHRISTOPHER RYAN HORNE has worked at LPL FINANCIAL LLC since July 05, 2011
CHRISTOPHER RYAN HORNE has 3 Disclosure Event(s).
Date: July 23, 2010 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT INVESTMENTS SELECTED BY OUTSIDE MONEY MANAGER WERE MISREPRESENTED AND UNSUITABLE.
Date: January 30, 2006 Category: Customer Dispute Allegations: ON NOVEMBER 11, 2001, THE CLIENT PURCHASED $65,000 IN A FORD MOTOR COMPANY BOND (CUSIP 345370CA6) AND ON MARCH 7, 2002, THE CLIENT PURCHASED $35,000 IN A GENERAL MOTORS CORP BOND (CUSIP 37042GWF9). THE CLIENT AND REPRESENTATIVE ASSUMED THAT BOTH BONDS CONTAINED ESTATE FEATURES (A.K.A. DEATH PUT) PER THE INFORMATION PROVIDED BY PERSHING LLC, CLEARING AGENT FOR UVEST FINANCIAL SERVICES GROUP, INC., WHEN THEY WERE PURCHASED. THE FEATURE WOULD ALLOW THE HOLDER TO PUT THE BONDS BACK TO THE ISSUER AT PAR REGARDLESS OF THE UNDERLYING PRICE. THE CLIENT PASSED AWAY IN LATE 2004. THE EXECUTOR CALLED TO EXERCISE THE ESTATE FEATURE. IT WAS THEN REALIZED THAT THE BONDS DID NOT HAVE THIS FEATURE. EXECUTOR EXPECTED PAR SINCE THAT WAS HOW THEY WERE DISCLOSED TO THE CLIENT WHEN HE PURCHASED THEM. Damage Amount Requested: $12,641.87 Settlement Amount: $12,641.87 Broker Comment: THIS WAS A VERBAL COMPLAINT. SINCE INCORRECT INFORMATION WAS PROVIDED BY PERSHING LLC AND A TRADE PLACED ON THIS INFORMATION, UVEST LIQUIDATED THE INVESTMENT AS INDICATED BY THE EXECUTOR AND MADE UP THE DIFFERENCE IN WHAT WAS RECEIVED AND PAR VALUE FOR THE BONDS, WHICH WAS EXPECTED BY THE EXECUTOR. MATTER RESOLVED.
Date: April 27, 1994 Category: Criminal Charges: DEFRAUDING TAXI DRIVER-FAILURE TO PAY CABFARE Charge Type: MISDEMEANOR Disposition: EVEN THOUGH I INITIALLY PLED GUILTY TO THECHARGE, I WAS TOLD THAT IF I PAID A FEE AND PERFORMED COMMUNITYSERVICE, IT WOULD BE DISMISSED. AS THE ENCLOSED RECORDSINDICATE I DID BOTH THOSE THINGS TO THE COURTS SATISFACTION. Broker Comment: Not Provided
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