EILEEN THERESA RENDULIC-MOSS is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 1301 S HIGHWAY 160, PAHRUMP, NV, 89048.
EILEEN THERESA RENDULIC-MOSS has worked at LPL FINANCIAL LLC since February 20, 2015
Disclosure History
EILEEN THERESA RENDULIC-MOSS has 3 Disclosure Event(s).
Date: October 07, 2015 Category: Customer Dispute Allegations: CUSTOMER ALLEGED THAT MUTUAL FUND INVESTMENTS IN JUNE 2015 WERE UNSUITABLE AND SOUGHT UNSPECIFIED REIMBURSEMENT OF OVER $5,000. ACTIVITY DATES 6/22/15 TO 8/25/15. Settlement Amount: $13,900.00 Broker Comment: CLAIM WAS SETTLED WITH NO ADMISSION OF LIABILITY OR WRONGDOING. INVESTMENTS WERE IN AN LPL MODEL PORTFOLIO THAT CLIENT HAD AGREED TO. DECLINE IN VALUE RESULTED FROM MARKET FLUCTUATION THAT OCCURRED OVER THE PERIOD OF INVESTMENT. CLAIM WAS SETTLED TO AVOID THE TIME AND EXPENSE OF ADDITIONAL PROCEEDINGS.
Date: January 23, 2015 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: March 16, 2009 Category: Financial Type: Bankruptcy Disposition: Discharged
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for EILEEN THERESA RENDULIC-MOSS, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.