GREGORY PAUL BENNER is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 3000 Woodcreek Drive, Suite 100, Downers Grove, IL, 60515.
GREGORY PAUL BENNER has worked at LPL FINANCIAL LLC since June 08, 2011
Disclosure History
GREGORY PAUL BENNER has 2 Disclosure Event(s).
Date: November 01, 2011 Category: Customer Dispute Allegations: ALLEGES UNSUITABILITY IN CONNECTION WITH THE SALE OF VARIABLE ANNUITY. Damage Amount Requested: $90,000.00 Broker Comment: MR. BENNER DENIES THE ALLEGATIONS AND MAINTAINS THAT THE INVESTMENT WAS SUITABLE. THE MATTER WAS CLOSED WITH NO ACTION.
Date: January 05, 2005 Category: Employment Separation After Allegations Firm Name: NATCITY INVESTMENTS Termination Type: Discharged Allegations: VIOLATION OF FIRM POLICY REGARDING CHECK HANDLING. Broker Comment: I HELD A CUSTOMER CHECK FOR $275 BECAUSE PAPERWORK WAS INCOMPLETE AND NEEDED ADDTIONAL INFO. THE CHECK WAS HELD PENDING COMPLETION OF THE ACCOUNT PAPERWORK, AND SEVERAL MONTHS PASSED WITHOUT GETTING THE ADDITIONAL PAPERWORK COMPLETED. I ALSO DISCOVERED THE OFFICIAL CHECK ORIGINALLY USED WAS INCORRECT, AND HAD IT REISSUED BY A BRANCH TELLER USING A "NOT USED FOR PURPOSE INTENDED" ENDORSEMENT. I WROTE IN THE CUSTOMER'S NAME, IN ERROR ACCORDING TO NATIONAL CITY, AND IMMEDIATELY HAD A TELLER REISSUE A NEW CHECK FOR $275 MADE TO COLLEGE AMERICA TO COMPLY WITH THE CUSTOMERS INITIAL REQUEST. AT NO TIME DID I USE THE $275 FOR MY OWN PURPOSE OR ANY PURPOSE OTHER THAN FOR THE BENEFIT OF THE CLIENT. THERE WAS NO INTENT TO VIOLATE FIRM POLICY OR MISAPPROPRIATE FUNDS, AND NATCITY HAS ACKNOWLEDGED THIS. THE ERROR CAME FROM BEING UNAWARE OF THE PROPER PROCEDURES TO FOLLOW IN A CASE SUCH AS THIS.
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