DAVID RAY FANNING

DAVID RAY FANNING is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 7600 HWY 72 W, SUITE 201, MADISON, AL, 35758.

DAVID RAY FANNING has worked at LPL FINANCIAL LLC since July 05, 2005

Disclosure History

DAVID RAY FANNING has 1 Disclosure Event(s).

Date: July 16, 2001
Category: Customer Dispute
Allegations: CLIENT ALLEGED FINANCIAL ADVISOR MADE INVESTMENTS IN CLIENT'S ACCOUNT WITHOUT HER AUTHORIZATION.
Damage Amount Requested: $7,075.78
Broker Comment: CLAIM LACKED MERIT.

More Information

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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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