CRAIG ARNOLD ARFSTEN is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 8400 EAST PRENTICE AVENUE, GREENWOOD VILLAGE, CO, 80111.
CRAIG ARNOLD ARFSTEN has worked at LPL FINANCIAL LLC since July 02, 2009
Disclosure History
CRAIG ARNOLD ARFSTEN has 2 Disclosure Event(s).
Date: July 22, 2002 Category: Customer Dispute Allegations: CLAIMANT ALLEGES VIOLATIONS OF THE COLORADO SECURITIES ACT, VIOLATIONS OF THE FEDERAL SECURITIES EXCHANGE ACT, VIOLATION OF COLORADO COMMON LAW, UNAUTHORIZED TRANSACTIONS, BREACH OF CONTRACT, BREACH OF FIDUCIARY DUTY, FRAUD, AND GROSS NEGLIGENCE. THE TIME PERIOD APPEARS TO BE FROM 12/2000 THROUGH 7/2002. Damage Amount Requested: $96,730.10 Settlement Amount: $39,999.00 Broker Comment: CLAIMANTS DISMISS WITH PREJUDICE ALL CLAIMS AGAINST FC.
Date: April 03, 2002 Category: Customer Dispute Allegations: THE CLIENTS' ATTORNEY ALLEGED UNSUITABILITY WITH REGARD TO THE PURCHASES OF BONDS. OCTOBER 1999 AND SEPTEMBER 2000. ALLEGED DAMAGES UNSPECIFIED. Broker Comment: THE CLIENT'S CLAIM WAS DENIED.
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