CRAIG MICHAEL WEINSTEIN is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 1501 N. Broadway, Suite 210A, Walnut Creek, CA, 94596.
CRAIG MICHAEL WEINSTEIN has worked at LPL FINANCIAL LLC since October 05, 2012
Disclosure History
CRAIG MICHAEL WEINSTEIN has 3 Disclosure Event(s).
Date: November 25, 2011 Category: Financial Type: Compromise Disposition: Satisfied/Released Broker Comment: I HAD TO SETTLE WITH AMERICAN EXPRESS CARD SERVICES TO SETTLE A BALANCE DUE TO FINANCIAL HARDSHIP AND LOSS OF INCOME DURING THE FINANCIAL CRISIS STEMMING FROM 2008-2011. I SETTLED FOR A LESSER AMOUNT THAT WAS OWED AND THE SETTLEMENT WAS PAID IN FULL.
Date: December 21, 2010 Category: Customer Dispute Allegations: CLAIMANT ALLEGED INVESTMENTS WERE NOT SUITABLE AND MISREPRESENTATIONS. DATES OF ALLEGED ACTIVITIES: 11/28/2007-2/14/2008. Damage Amount Requested: $60,000.00 Settlement Amount: $28,000.00 Broker Comment: WITHOUT ADMITTING ANY LIABILITY, THE FIRM SETTLED THE MATTER FOR $28,000 TO AVOID THE EXPENSE AND UNCERTAINTY OF ARBITRATION.
Date: June 10, 2005 Category: Customer Dispute Allegations: CLIENT ALLEGES FINANCIAL CONSULTANT RUSHED HER TO MAKE A DECISION ABOUT THE PRODUCT AND SHE DID NOT HAVE ENOUGH TIME TO READ MATERIALS PRIOR TO MAKING DECISION. CLIENT IS UNHAPPY WITH THE PRODUCT AND FEELS IT DOES NOT MEET HER NEEDS. Damage Amount Requested: $5,364.78 Broker Comment: COMPLAINT FILED IN ERROR BY BROKER/DEALER SALES MANAGER SPOKE WITH CLIENT AND DETERMINED MATTER TO BE NON-SALES PRACTICE IN NATURE. CLIENT ACKNOWLEDGED HER UNDERSTANDING OF THE PRODUCT AND THE PRODUCT APPEARS TO MEET THE CLIENT'S FINANCIAL NEEDS. CLIENT INDICATED NO ISSUES WITH WORKING RELATIONSHIP WITH REGISTERED REPRESENTATIVE.
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