GARTH JAMES LURVEY

GARTH JAMES LURVEY is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 330 HARBOUR ISLE WAY, STE 1020, LONGWOOD, FL, 32750.

GARTH JAMES LURVEY has worked at LPL FINANCIAL LLC since December 15, 2016

Disclosure History

GARTH JAMES LURVEY has 3 Disclosure Event(s).

Date: March 18, 2014
Category: Customer Dispute
Allegations: CLIENT ALLEGES THAT THE TWO UITS SHE BOUGHT WERE NOT SUITABLE.
Damage Amount Requested: $12,156.43
Settlement Amount: $5,000.00

Date: January 20, 2011
Category: Customer Dispute
Allegations: ON 10/07/2010 THE CLIENTS PURCHASED A UNIT INVESTMENT TRUST. THEY LIQUIDATED IT ON 12/08/2010 ALLEGING THAT THE INVESTMENT WAS MISREPRESENTED.
Damage Amount Requested: $5,554.92
Broker Comment: THE CLIENTS HAVE OWNED BONDS BEFORE ALTHOUGH THIS NEW STRUCTURE OF UIT WAS UNFAMILIAR TO THEM; THEY EXPLAINED TO ME THAT THEY UNDERSTOOD THE PRODUCT. I INFORMED THEM THAT THERE COULD BE SOME VOLATILITY AND THIS PRODUCT, IF HELD TO MATURITY, WOULD PROVIDE A LEVEL OF PRINCIPAL PROTECTION. I ALSO EXPLAINED TO THEM THAT THEY ARE EVALUATING AN INVESTMENT THAT IS LONG-TERM IN NATURE BY ONLY A COUPLE MONTHS. THAT IS A VERY SHORT OBSERVATION PERIOD.

Date: June 18, 2010
Category: Customer Dispute
Allegations: THE CLIENT ALLEGED MISREPRESENTATION IN THE PURCHASE OF HIS VARIABLE ANNUITY.
Damage Amount Requested: $5,849.00
Broker Comment: THE REPRESENTATIVE DENIES ALL THE CLIENT ALEGATIONS. HE SAYS HE MET WITH THE CLIENT ON AT LEAST THREE OCCASIONS TO EXPLAIN THE BENEFITS AND RISKS OF THE ANNUITY.

More Information

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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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