CHRISTOPHER GILBERT POPKEY is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 6929 E. Greenway Pkwy, #180, Scottsdale, AZ, 85254.
CHRISTOPHER GILBERT POPKEY has worked at LPL FINANCIAL LLC since October 28, 2016
Disclosure History
CHRISTOPHER GILBERT POPKEY has 1 Disclosure Event(s).
Date: January 03, 2011 Category: Customer Dispute Allegations: 10/10-12/15/10; THE CLIENT CLAIMS THAT SHE HAD $90,000 FROM AN INHERITANCE AND WANTED TO INVEST THE FUNDS SHORT TERM AS SHE WAS GOING TO NEED THE FUNDS TO BID IN A HOUSE AUCTION IN MID OCTOBER 2010. THE AUCTION WAS DELAYED UNTIL 1/13/2011 AND CLAIMS THE FINANCIAL ADVISOR ASSURED THAT HE COULD INVEST THE MONEY AND MAKE AS MUCH AS FIVE PERCENT COMPARED TO THE ONE PERCENT IF LEFT IN THE BANK. THE CLIENT STATES IN LESS THAN EIGHT WEEKS THE INVESTMENT LOST A LITTLE OVER $8,000. THE CLIENT CLAIMS SHE DID NOT KNOW WHAT THE CHARGES WERE TO PURCHASE THE INVESTMENT AND STATES SHE LEARNED THAT PIMCO WAS A LONG TERM, HIGH-RISK INVESTMENT. THE CLIENT STATES SHE WAS NOT INFORMED OF THE LONG TERM, HIGH RISK NATURE OF THE INVESTMENT AND REQUESTS THAT EDWARD JONES REIMBURSE HER FOR LOSSES AND FEES PAID. THE CLIENT STATES WHILE SHE DID SIGN AN "AFFIDAVIT" THAT THERE WAS SOME RISK INVOLVED AND THERE WOULD BE A FEE, THE FEE AMOUNT WAS NOT STATED IN THE DOCUMENT OR EXPLAINED VERBALLY. Damage Amount Requested: $8,000.00 Settlement Amount: $4,887.41 Broker Comment: OUR RESEARCH INDICATED THAT WHILE THE INVESTMENT WAS NOT UNSUITABLE, THE CLIENT WAS LOOKING FOR A SHORT TERM INVESTMENT. THE INVESTMENT WAS LIQUIDATED AND LOSSES CREDITED TO THE CLIENT'S ACCOUNT.
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