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.
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