DIANA LEE SHULTZ is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 5918 MC INTYRE DR, DUBLIN, OH, 43016.
DIANA LEE SHULTZ has worked at LPL FINANCIAL LLC since January 25, 2007
Disclosure History
DIANA LEE SHULTZ has 2 Disclosure Event(s).
Date: September 13, 1988 Category: Regulatory Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS,INC. Allegations: VIOLATION OF ARTICLE III, SECTION 15(b) OF THENASD RULES OF FAIR PRACTICE. Resolution: Decision Sanction Details: MS. SCHULTZ WAS FOUND TO HAVE VIOLATED ARTICLEIII, SECTION 15(b) OF THE NASD RULES OF FAIR PRACTICE. DIANASHULTZ ENTERED ORDERS IN THE ACCOUNT OF JOSEPH MONG ON ADISCRETIONARY BASIS WITHOUT RECEIVING PRIOR WRITTENAUTHORIZATION.
Date: March 17, 1988 Category: Customer Dispute Allegations: TRADING ON A DISCRETIONARY BASIS WITHOUTRECEIVING PRIOR WRITTEN AUTHORIZATION. $30,000 LOSS Damage Amount Requested: $30,000.00 Settlement Amount: $29,294.41 Broker Comment: I WAS FOUND TO HAVE VIOLATED ARTICLE III SECTION15(B) OF THE NASD RULES OF FAIR PRACTICE. I ENTERED ORDERS INTHE ACCOUNT OF [CUSTOMER] ON A DISCRETIONARY BASIS WITHOUTRECEIVING PRIO WRITTEN AUTHORIZATION. I MADE [CUSTOMER] WHOLE.[CUSTOMER] WANTED TO SIGN DISCRETIONARY PAPERSBUT MY MANAGER REFUSED TO SEND THEM "THEY WOULDN'T DO ANY GOOD[CUSTOMER] CONSTANTLY TOLD ME HE WANTED TO USE AS MUCH LEVERAGE ASPOSSIBLE & THEN THE CRASH OF 1987 OCCURED. THE PRAISE ANDENCOURAGEMENT, I WAS RECEIVING STOPPED & HE STARTED LOOKING FORWAYS TO MAKE HIMSELF WHOLE AT ANYONE ELSE'S EXPENSE.
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