GREGORY DEAN ANDERSON is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 1336 OAKRIDGE DR, FORT COLLINS, CO, 80525.
GREGORY DEAN ANDERSON has worked at LPL FINANCIAL LLC since February 14, 2018
Disclosure History
GREGORY DEAN ANDERSON has 1 Disclosure Event(s).
Date: April 13, 2015 Category: Customer Dispute Allegations: CLAIMANTS ALLEGATIONS INCLUDE, BUT ARE NOT LIMITED TO, A LACK OF SUITABILITY IN REGARD TO INVESTMENTS MADE BASED ON THE CLAIMANTS' FINANCIAL NEEDS, INVESTMENT OBJECTIVES, AND RISK TOLERANCE; AND A FAILURE BY THE RESPONDENTS TO FULLY DISCLOSE THE INVESTMENT RISKS OF THE PRODUCT TYPE(S) THAT THE CLAIMANTS MONIES WERE INVESTED IN. INVESTMENTS WERE MADE BETWEEN (ON/ABOUT) NOVEMBER 2006 AND (ON/ABOUT) APRIL 2009. Damage Amount Requested: $850,000.00 Settlement Amount: $260,000.00 Broker Comment: ProEquities, Inc. and the claimants reached a full and final settlement of claims set forth in FINRA Arbitration #15-00733 in the amount of $260,000.00 during a private mediation proceeding on January 21, 2016. The Firm nor the representative neither admitted nor denied the claims but settled the matter rather than proceed with further inherent uncertainty and costs associated with continued litigation.
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