DAVID JAMES VIGIL is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 574 PONTE VEDRA BLVD, PONTE VEDRA, FL, 32082.
DAVID JAMES VIGIL has worked at LPL FINANCIAL LLC since April 24, 2017
DAVID JAMES VIGIL has 3 Disclosure Event(s).
Date: April 24, 2017 Category: Customer Dispute Allegations: CLAIMANTS ALLEGE, INTER ALLA, UNSUITABILITY WITH RESPECT TO INVESTMENTS IN ACCOUNTS-2011 TO 2016. Damage Amount Requested: $90,000.00 Settlement Amount: $12,500.00 Broker Comment: In order to avoid the costs and uncertainties of litigation, Morgan Stanley agreed to pay Claimants $12,500.00 in full and final settlement of any and all claims asserted by Claimants in this proceeding.
Date: November 01, 2010 Category: Customer Dispute Allegations: TIME FRAME: MARCH 26, 2008 - OCTOBER 26, 2010 CLIENT'S COUNSEL ALLEGES FINANCIAL ADVISOR FAILED TO DIVERSIFY THE CLIENT'S ACCOUNT BY PUTTING "ALL HIS EGGS IN ONE BASKET." COUNSEL FURTHER ALLEGES FINANCIAL ADVISOR MADE MISREPRESENTATIONS REGARDING THE SAFETY OF THE NOTES, STATING THAT THESE WERE SECURE, LOW-RISK INVESTMENTS. Damage Amount Requested: $85,000.00 Settlement Amount: $42,500.00
Date: June 22, 2010 Category: Customer Dispute Allegations: TIME FRAME: SEPTEMBER 28, 2005 - JULY 31, 2009 CLIENT ALLEGES DUE TO HER AGE SHE WAS NOT A RISK TAKER AND WAS CONCERNED ABOUT HER MONEY. Damage Amount Requested: $20,000.00
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