Curtis Randall Green is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 36101 Bob Hope Drive, Ste. G-2, Rancho Mirage, CA, 92270.
Curtis Randall Green has worked at LPL FINANCIAL LLC since October 31, 2016
Curtis Randall Green has 2 Disclosure Event(s).
Date: June 30, 2009 Category: Customer Dispute Allegations: 1/3/09-6-30/09; CLIENT STATES FA DID NOT INVEST HER MONEY APPROPRIATELY BASED ON CLIENT'S OBJECTIVES. CLIENT ALSO STATES FA PUT IN WRITING (ON ATTACHED DOCUMENT), THAT SHE WOULD HAVE APPROX. 40 MONTHS OF INCOME AT THE RATE OF $5,000 A MONTH FROM HER REMAINING INVESTED MONEY. CLIENT STATES HER CALCULATIONS INDICATE SHE WILL ONLY HAVE 15 TO 16 MONTHS INCOME. CLIENT WANTS RESTITUTION. Damage Amount Requested: $5,000.00 Broker Comment: FA STATES CLIENT AGREED TO A GROWTH, GROWTH AND INCOME AND INCOME PORTFOLIO WHEN HE FIRST MET WITH HER. FA STATES HE MET WITH CLIENT ON MANY OCCASIONS TO DISCUSS ACCOUNT, INCLUDING 6 HOME APPOINTMENTS, 15 OFFICE APPOINTMENTS, AND APPROXIMATELY 20 PHONE APPOINTMENTS. CLIENT TOOK APPROXIMATE $375,135.00 IN WITHDRAWALS FROM THE ACCOUNT BETWEEN 2004 AND 2009. FA DISCUSSED HIS CONCERNS WITH THE CLIENT REGARDING THE WITHDRAWALS. FA FELT CLIENT WAS TAKING EXCESSIVE WITHDRAWALS. CLIENT SIGNED AN ACKNOWLEDGEMENT LETTER ON MARCH 6, 2008 FOR LARGE ONGOING WITHDRAWALS. FA KEPT THE PORTFOLIO DIVERSIFIED UNTIL 2008 WHEN THE CLIENT REQUESTED HER ACCOUNT BE INVESTED IN CASH. FA MET WITH CLIENT IN FEBRUARY 2009. DURING THEIR VISIT, THE FA STATES HE USED THE EXAMPLE, IF THE CLIENT HAD $234,498.23 IN CASH, IF THE CLIENT WERE TO WITHDRAW $5,000 PER MONTH, THEIR CASH WOULD LAST APPROXIMATELY 40 MONTHS. THIS WAS THE AMOUNT THE CLIENT HAD ORIGINALLY INVESTED ON THE HOLDING PAGE HE SHOWED HER, NOT THE AMOUNT OF CASH THE CLIENT HAD REMAINING.
Date: January 03, 2006 Category: Customer Dispute Allegations: THE CLIENT ADVISED THAT HE WAS ASSURED THAT HE WOULD RECEIVE 7.21% INCOME PER YEAR ON THE PURCHASE OF INCOME MUTUAL FUNDS. THE CLIENT'S INCOME HAS DECLINED AND HE IS QUESTIONING WHAT IS GOING ON WITH HIS INVESTMENTS. THE VALUE OF HIS INVESTMENTS HAVE ALSO DECLINED IN VALUE BY APPROXIMATELY $7000.00. THE CLIENT FEELS THAT HE WAS MISLED ON THE INCOME THAT WOULD BE PRODUCED BY THESE INVESTMENTS. Damage Amount Requested: $7,000.00 Broker Comment: THE IR ADVISED THAT HE PROPERLY DISCLOSED ALL FEES AND COMMISSIONS ASSOCIATED WITH THESE MUTUAL FUNDS. THE IR PROVIDED THE CLIENT WITH A PROSPECTUS AT THE TIME OF PURCHASE AND THE CLIENT RECEIVED A BREAKPOINT FOR PURCHASING INTO ONE FUND FAMILY. THE CLIENT IS HAVING $440.00 PER MONTH SENT DIRECTLY TO HIS BANK ACCOUNT FROM THIS ACCOUNT. SINCE IT IS MY UNDERSTANDING, THAT ALL OF THE FEATURES OF THE BENEFITS WERE REVIEWED AND PROPERLY DISCLOSED TO THE CLIENT, HIS REQUEST FOR REIMBURSEMENT WAS DENIED.
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.
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