GARY LEONARD LEVENTHAL is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 9 S. LONG BEACH RD., ROCKVILLE CENTRE, NY, 11570.
GARY LEONARD LEVENTHAL has worked at LPL FINANCIAL LLC since June 21, 2013
Disclosure History
GARY LEONARD LEVENTHAL has 2 Disclosure Event(s).
Date: November 12, 2010 Category: Customer Dispute Allegations: CLAIMANT ALLEGES, INTER ALIA, THAT THE FEES CHARGED ON HIS MANAGED ACCOUNTS WERE EXCESSIVE, AND WERE MISREPRESENTED TO HIM WHEN THE ACCOUNTS WERE OPENED. TIME PERIOD UNSPECIFIED Damage Amount Requested: $250,000.00 Settlement Amount: $14,500.00 Broker Comment: CITIGROUP SETTLED THIS MATTER IN ORDER TO AVOID THE COSTS OF LITIGATION. GARY LEVENTHAL OPPOSED ANY SETTLEMENT, AND WAS NOT ASKED TO CONTRIBUTE. THERE WAS NO FINDING OF WRONGDOING AGAINST MR. LEVENTHAL.
Date: December 30, 2009 Category: Customer Dispute Allegations: CLIENTS ALLEGED THAT THE FEE STRUCTURE ON THEIR MANAGED ACCOUNTS WAS MISREPRESENTED. 1999. DAMAGES UNSPECIFIED. Broker Comment: CLAIM DENIED.
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