GERALD MARTIN PEPPER

GERALD MARTIN PEPPER is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 4171 W. Hillsboro Blvd, Suite 4, Coconut Creek, FL, 33073.

GERALD MARTIN PEPPER has worked at LPL FINANCIAL LLC since May 30, 2008

Disclosure History

GERALD MARTIN PEPPER has 2 Disclosure Event(s).

Date: June 01, 2009
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: October 15, 2001
Category: Customer Dispute
Allegations: CLIENT ALLEGES THAT THE VARIABLE ANNUITY SOLD TO HER BY THE REPRESENTATIVE IS INAPPROPRIATE FOR HER BECAUSE OF ITS RESTRICTIONS IN ACCESSING HER MONEY AND THE TAX CONSEQUENCES.
Damage Amount Requested: $138,364.92
Broker Comment: INVESTIGATION REVEALED NO SALES PRACTICE VIOLATIONS OR SUITABILITY ISSUES. FURTHER, CLIENT SIGNED WMAS BROKERAGE ACCOUNT APPLICATION ON 09/08/00 ATTESTING TO HAVING 20 YEARS INVESTMENT EXPERIENCE AND BEING A "HIGH RISK" INVESTOR.

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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