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.
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