CURT MATHEW BEYER is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 500 LA TERRAZA BLVD, STE. 150, ESCONDIDO, CA, 92025.
CURT MATHEW BEYER has worked at LPL FINANCIAL LLC since February 03, 2017
CURT MATHEW BEYER has 4 Disclosure Event(s).
Date: December 10, 2008 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT THE FINANCIAL ADVISOR MADE MISREPRESENTATIONS Settlement Amount: $27,781.56 Broker Comment: I, CURT BEYER, WAS NOT INVOLVED WITH NOR ASKED TO PARTICIPATE IN THE FINAL SETTLEMENT OF THE [CUSTOMER] RESOLUTION
Date: August 07, 2008 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT THE FINANCIAL ADVISOR FAILED TO FOLLOW HIS INSTRUCTION TO ENTER A STOP LOSS ORDER. Damage Amount Requested: $15,628.60
Date: May 16, 2006 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT FINANCIAL ADVISOR MADE UNSUITABLE INVESTMENT RECOMMENDATIONS. Damage Amount Requested: $5,772.00 Broker Comment: LETTER TO CUSTOMER DENYING ALLEGATIONS.
Date: April 20, 2001 Category: Customer Dispute Allegations: CUSTOMER'S ATTORNEY ALLEGES THAT FINANCIAL CONSULTANT MADE UNSUITABLE INVESTMENT RECOMMENDATIONS. Damage Amount Requested: $26,951.00 Settlement Amount: $20,000.00 Broker Comment: IN ORDER TO AVOID THE COSTS AND UNCERTAINTIES OF LITIGATION, MERRILL LYNCH MADE A BUSINESS DECISION TO SETTLE THIS MATTER.
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 CURT MATHEW BEYER, 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If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.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