DENNIS L PERRY is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 125 WOLF RD STE 503-7, ALBANY, NY, 12205-1221.
DENNIS L PERRY has worked at LPL FINANCIAL LLC since November 14, 2008
Disclosure History
DENNIS L PERRY has 2 Disclosure Event(s).
Date: November 29, 2010 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT FA PLACED CLIENT'S FUNDS IN "INCREASINGLY UNDIVERSIFIED" POSITIONS USED MARGIN THAT EXPOSED THE CLIENT TO "UNSUITABLE AND INAPPROPRIATE RISK." (12/13/00 - 12/31/08).****ARBITRATION ALLEGATIONS: CLAIMANTS HUSBAND (DECEASED) AND WIFE, RESIDENTS OF ARIZONA, ALLEGE UNSUITABLE TRADING ON MARGIN AND FAILURE TO FOLLOW INSTRUCTIONS TO SELL STOCK TO PAY OFF HOME MORTGAGE BETWEEN 2006-2008 AGAINST FA. CLAIMANTS REQUEST DAMAGES OF $73,043.17. Damage Amount Requested: $73,048.17 Settlement Amount: $32,500.00 Broker Comment: COMPLAINT WAS ORIGINALLY DENIED ON 10/20/10, ARBITRATION CLAIM WAS RECEIVED ON 11/29/10. THE MATTER WAS SETTLED ON NOVEMBER 22, 2011 FOR $32,500.
Date: July 27, 2010 Category: Customer Dispute Allegations: CLIENT ALLEGES THEIR INVESTMENT OBJECTIVE WAS CHANGED IN 2007 TO A MORE AGGRESSIVE OBJECTIVE. CLAIMS THEIR MUTUAL FUNDS WERE LIQUIDATED AND INVESTED INTO MAINLY EQUITIES WHICH CAUSED THEM TO SUSTAIN GREATER LOSSES DURING THE BEAR MARKET IN 2008. ***ARBITRATION ALLEGATIONS: CLAIMANT, A RESIDENT OF NEW YORK, ALLEGES UNSUITABLE INVESTMENTS AGAINST FA FOR THE PURCHASE OF EQUITIES DURING 2007 TO 2008. CLAIMANT REQUESTS $120,685.37 IN COMPENSATORY DAMAGES. Damage Amount Requested: $120,685.40 Settlement Amount: $27,000.00 Broker Comment: **THIS DRP IS FILED TO MAKE A CORRECTION TO THE DRP FILING OF 5/3/2011. **THIS MATTER SETTLED ON MAY 3, 2012 FOR $27,000.00.
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