EMMANUEL DWIGHT HARRIS

EMMANUEL DWIGHT HARRIS is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 6201 N. PARK AVE, INDIANAPOLIS, IN, 46220.

EMMANUEL DWIGHT HARRIS has worked at LPL FINANCIAL LLC since October 01, 1991

Disclosure History

EMMANUEL DWIGHT HARRIS has 3 Disclosure Event(s).

Date: November 06, 2015
Category: Financial
Type: Compromise
Disposition: Satisfied/Released
Broker Comment: Firm has made a reasonable determination this is a reportable event. This compromise was the short sale of a home.

Date: October 19, 2004
Category: Customer Dispute
Allegations: VARIABLE ANNUITY WAS UNSUITABLE GIVEN CUSTOMER'S AGE, FINANCIAL SITUATION AND OBJECTIVES. ALLEGED COMPENSATORY DAMAGES WERE NOT SPECIFIED, BUT BELIEVED TO BE MORE THAN $5000.
Damage Amount Requested: $5,000.00

Date: April 03, 2003
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES THAT VARIABLE ANNUITY INVESTMENTS WERE UNSUITABLE AND THAT AGGRESSIVE GROWTH OBJECTIVE WAS NOT APPROPRIATE FOR HER AGE.
Damage Amount Requested: $25,000.00
Settlement Amount: $9,900.00
Broker Comment: MATTER WAS RESOLVED AS A CUSTOMER ACCOMMODATION ONLY AND TO AVOID PROTRACTED LITIGATION. MATTER WAS RESOLVED WITH NO ADMISSION OF LIABILITY BY REPRESENTATIVE, WHICH REMAINED EXPRESSLY DENIED.

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 EMMANUEL DWIGHT HARRIS, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.