GREGORY KEITH KEMPNER

GREGORY KEITH KEMPNER is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 1065 ANDREW DR, Wyndmoor, PA, 19380.

GREGORY KEITH KEMPNER has worked at LPL FINANCIAL LLC since March 23, 2011

Disclosure History

GREGORY KEITH KEMPNER has 2 Disclosure Event(s).

Date: August 26, 2009
Category: Customer Dispute
Allegations: CANTELLA FAILED TO PLAINLY DISCLOSE THE RISK OF A FAILED AUCTION. FAILED TO DISCLOSE THAT FAILURES HAD OCURRED. CANTELLA REPRESENTED THE SECURITIES AS CASH.
Damage Amount Requested: $225,000.00

Date: February 18, 2009
Category: Customer Dispute
Allegations: CLIENT PURCHASED SOME ARS SECURITIES WHICH THEY ARE NOW UNABLE TO LIQUIDATE. THEY ARE ASKING TO BE REIMBURSED FOR THIS.
Damage Amount Requested: $175,000.00
Settlement Amount: $124,873.84
Broker Comment: CLIENT ORIGINALLY PURCHASED 175,000 ARS. 50,000 WERE REDEEMED BY ISSUER. OF REMAINING 125,000 WERE PURCHASED BY FIRM FROM CLIENT IN THE AMOUNT OF $123,873.84. THE DIFFERENCE WAS DUE TO INTEREST PAYMENTS. DATE OF SETTLEMENT WAS APRIL 13, 2009.

More Information

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