David Moberg Nash is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 14074 S CARUS RD, OREGON CITY, OR, 97045.
David Moberg Nash has worked at LPL FINANCIAL LLC since April 11, 2016
Date: December 12, 2016 Category: Customer Dispute Allegations: CLIENT ALLEGES THE ADVICE TO LIQUIDATE HER ATHENA AND GREAT AMERICAN FIXED ANNUITIES AND TO PURCHASE BLACKROCK MUTUAL FUNDS ON DECEMBER 14, 2015 CAUSED UNINTENDED TAX IMPLICATIONS. Damage Amount Requested: $6,896.00 Settlement Amount: $6,896.00 Broker Comment: ZFTER COMPLETION OF THE FIRM'S INVESTIGATION, CLIENT'S CLAIM WAS RESOLVED IN THE AMOUNT OF $6,896, REP DENIES THIS CLAIM. I MADE SEVERAL RECOMMENDATIONS FOR THE CLIENT TO SEEK OUT THE INPUT OF A QUALIFIED TAX PROFESSIONAL PRIOR TO WITHDRAWING FUNDS FROM HER ANNUITY. I WANTED HER TO BE SURE SHE WAS COMFORTABLE WITH THE TAX IMPLICATIONS. SHE ULTIMATELY INSTRUCTED ME TO PROCEED WITH THE WITHDRAWAL AND SUBSEQUENT INVESTMENTS. FOLLOWING THOSE INSTRUCTIONS I DID MY BEST TO MITIGATE NEGATIVE IMPACT AND REDUCE COSTS WHERE I HAD THE ABILITY TO DO SO. THE TAX CONSEQUENCES WERE BEYOND MY CONTROL. I CONTINUED TO OFFER MY HELP AND MADE MYSELF FULLY AVAILABLE TO ANSWER ANY QUESTIONS SHE HAD.
Date: January 09, 2015 Category: Financial Type: Compromise Disposition: SETTLEMENT
Date: October 12, 2011 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: March 01, 2011 Category: Financial Type: Compromise Disposition: Satisfied/Released
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