GEORGE FREDERICK LORENZ is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 105 MAXESS ROAD STE S124, MELVILLE, NY, 11747.
GEORGE FREDERICK LORENZ has worked at LPL FINANCIAL LLC since May 23, 2014
Disclosure History
GEORGE FREDERICK LORENZ has 1 Disclosure Event(s).
Date: May 12, 2008 Category: Customer Dispute Allegations: CLIENT ALLEGES UNSUITABILITY CONCERNING AUCTION MARKET SECURITIES. DAMAGES UNSPECIFIED. Broker Comment: THIS COMPLAINT AROSE OUT OF THE UNPRECEDENTED ILLIQUIDITY IN THE AUCTION RATE SECURITIES MARKET. PRIOR TO THE RECENT WIDESPREAD AUCTION FAILURES, AUCTION MARKET SECURITIES WERE SOLD THROUGHOUT THE FINANCIAL SERVICES INDUSTRY AS HIGHLY LIQUID INSTRUMENTS AND WERE APPROPRIATELY REGARDED BY THE INDUSTRY AS HIGHLY LIQUID INVESTMENTS. THE CUSTOMER'S AUCTION MARKET SECURITIES POSITIONS WERE FULLY REDEEMED AT PAR ON AUGUST 1, 2008.
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