DANIEL ERIC SUTTON is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 1400 ROCKY RIDGE DR STE 180, ROSEVILLE, CA, 95661.
DANIEL ERIC SUTTON has worked at LPL FINANCIAL LLC since November 29, 2017
Disclosure History
DANIEL ERIC SUTTON has 2 Disclosure Event(s).
Date: October 31, 1994 Category: Customer Dispute Allegations: THE CLIENT WAS NOT MADE COMPLETEY AWARE OFTHE VOLATILE NATURE OF THE INVESTMENT Damage Amount Requested: $26,000.00 Settlement Amount: $26,000.00 Broker Comment: THE VALUE OF THE INVESTMENT WAS EXCHANGED FOR ARETURN OF THE CLIENTS ORIGINAL INVESTMENT OF $26,000. MY PRIOR BROKER/DEALER RETAINED OWNERSHIP OF THE INVESTMENT.AFTER OWNING THE INVESTMENT FOR 11 MONTHS, THE CLIENT BECAME UNHAPPY WITH THE INVESTMENT AND THE VOLATILITYINHERENT IN MANAGED FUTURES. THE CLIENT ASKED FOR AND RECEIVED A RETURN OF THEIR ORIGINAL INVESTMENT FROM IDS FINANCIAL SERVICES INC. HOWEVER, DUE TO THE FACT THAT THE INVESTMENT WAS ALSO WORTH APPROXIMATELY THE ORIGINAL $26,600. THERE WAS IN EFFECT NO FINANCIAL SETTLEMENT - NO LOSS TO THE CLIENT AND NO LOSS THE THE COMPANY.
Date: April 22, 1994 Category: Employment Separation After Allegations Firm Name: IDS FINANCIAL SERVICES INC. Termination Type: Permitted to Resign Allegations: CASE #25430THAT I SIGNED CLIENT'S NAMES TO DOCUMENTS IN DECEMBER 1993 Broker Comment: RESIGNED:I ADMITTED SIGNING FOR MY CLIENTS BUT IT WAS MYUNDERSTANDING THAT IT WAS NOT A PROBLEM AS LONG AS IT WAS OKAY WITH THE CLIENT. I WAS UNDER THE IMPRESSION THAT I HAD BOTH CLIENTS OKAY. AT NO TIME WAS ANYTHING DONE TO HURT THE CLIENT OR TO GO AGAINST THE CLIENTS WISHES. NO BUSINESS WAS TRANSACTED THAT THE CLIENT DID NOT WISH TO TRANSACT.
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