Frederick David Gunther

Frederick David Gunther is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 4242 SIX FORKS RD STE 1550, RALEIGH, NC, 27609-6086.

Frederick David Gunther has worked at LPL FINANCIAL LLC since January 18, 2018

Disclosure History

Frederick David Gunther has 1 Disclosure Event(s).

Date: October 03, 2016
Category: Customer Dispute
Allegations: Client alleges the financial advisor provided poor advice/ poor recommendation to withdraw funds from an IRA on July 1, 2016, which caused unintended tax consequences
Damage Amount Requested: $16,500.00
Settlement Amount: $18,719.00
Broker Comment: After completion of the firm's investigation, client's claim was resolved in the amount of $18,719.00. Financial advisor was not required to contribute to the resolution.

More Information

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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.

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