DAVID JOHN MORGANTI

DAVID JOHN MORGANTI is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 2395 LANCASTER PIKE, READING, PA, 19607.

DAVID JOHN MORGANTI has worked at LPL FINANCIAL LLC since March 25, 2014

Disclosure History

DAVID JOHN MORGANTI has 2 Disclosure Event(s).

Date: February 23, 2015
Category: Judgment / Lien
Judgment/Lien Amount: $500.00
Judgment/Lien Type: Tax
Broker Comment: LPL (CURRENT FIRM) HAS MADE A REASONABLE DETERMINATION THIS IS A REPORTABLE EVENT. LIEN WAS ASSESSED WHILE ADVISOR WAS REGISTERED WITH METLIFE HOWEVER DISCLOSURE DETAILS WERE NEVER REPORTED TO U4. ADVISOR WAS NOT MADE AWARE OF THIS ISSUE BY THE STATE. ADVISOR BECAME AWARE OF THE ISSUE WHEN CONTACTED BY CURRENT FIRM.

Date: June 08, 2009
Category: Customer Dispute
Allegations: CUSTOMER ALLEGED THE REPRESENTATIVE FAILED TO FOLLOW HIS REPEATED INSTRUCTIONS, BEGINNING IN OCTOBER 2008, TO REALLOCATE THE SUBACCOUNTS WITHIN HIS VARIABLE ANNUITY. CUSTOMER HAS ALLEGED DAMAGES AS NOTED BELOW.
Damage Amount Requested: $35,000.00

More Information

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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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