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
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.
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 CRAIG MICHAEL WEINSTEIN, click here.
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.
How to choose a broker or investment adviser. Learn More