FRANK MARIO AMELIO is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 511 SAXONY PLACE,, SUITE 101, ENCINITAS, CA, 92024.
FRANK MARIO AMELIO has worked at LPL FINANCIAL LLC since May 31, 2013
FRANK MARIO AMELIO has 3 Disclosure Event(s).
Date: February 14, 1995 Category: Customer Dispute Allegations: SELLING AWAY, VIOLATION OF SECTION 40 OF THERULES OF FAIR PRACTICE, DAMAGES OF $175,000. Damage Amount Requested: $170,000.00 Damages Granted: $25,000.00 Broker Comment: MR. AMELIO WAS ORDERED TO PAY THE [CUSTOMERS] $25,000.THE INVESTMENT BY THE [CUSTOMERS] IN THE LEGACYGROUP, INC. WAS MADE INDEPENDENT OF ANY RECOMMENDATION BY ME OR A.G. EDWARDS AND WITH- OUT ANY ASSISTANCE OR PARTICIPATION BY ME OR A.G. EDWARDS. THE [CUSTOMERS] WERE, IN FACT, ADVISED ON SEVERAL OCCASIONS THAT, BY REASON OF THE REQUIREMENTS OF SUCH ULES AS SECTIONS 40 OF THE NASD RULES OF FAIR PRACTICE (NOTT MENTIONED BY NAME), I COULD NOT RECOMMEND THE INVESTMENT OR PARTICIPATE IN ANY WAY IN ITS PLACEMENT.
Date: April 26, 1994 Category: Employment Separation After Allegations Firm Name: A. G. EDWARDS & SONS Termination Type: Voluntary Resignation Allegations: SELLING AWAY Broker Comment: I WAS NOT TERMINATED, BUT I RESIGNED AND TOOK JOB WITH SMITH BARNEY.
Date: July 19, 1993 Category: Customer Dispute Allegations: THAT I HAD MISMANAGED THEIR PERSONAL TRUSTACCOUNT AND THE OSBRINK TRUST ACCOUNT BY SWITCHING FORCOMMISSIONS. THERE WERE NO LOSSES AND NO DAMAGES. BOTHACCOUNTS MADE MONEY (WERE VERY PROFITABLE). THE ALLEGED DAMAGEHAD TO DO WITH THE AMOUNT OF COMMISSION, I.E. $27,000.00 OVER ATHREE YEAR PERIOD ON $900,000.00 UNDER MANAGEMENT. Damage Amount Requested: $27,000.00 Settlement Amount: $10,000.00 Broker Comment: SETTLEMENT FOR $18,000.00 OSBRINK TRUST.SETTLEMENT FOR $1,000.00 [CUSTOMER] TRUST.NOT PROVIDED
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