GILBERT GALLANT

GILBERT GALLANT is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at ONE SALEM GREEN, SALEM, MA, 01970.

GILBERT GALLANT has worked at LPL FINANCIAL LLC since January 03, 2001

Disclosure History

GILBERT GALLANT has 1 Disclosure Event(s).

Date: August 27, 2001
Category: Customer Dispute
Allegations: CLIENT ALLEGES THAT PURCHASES OF VARIOUS MUTUAL FUNDS AND A VARIABLE ANNUITY WERE UNSUITABLE, GIVEN CLIENT'S OBJECTIVES AND RISK TOLERANCE LEVELS.
Damage Amount Requested: $40,000.00
Broker Comment: THE CUSTOMER'S COMPLAINT WAS DENIED BECAUSE THE ALLEGATIONS WERE UNGROUNDED. THE INVESTMENT OPTIONS SELECTED WERE REVIEWED WITH THE CUSTOMER AND MATCHED THE OBJECTIVES AND RISK TOLERANCE LEVELS.

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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