GREGORY JOSEPH WATERS

GREGORY JOSEPH WATERS is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 14515 N. OUTER 40 ROAD STE 100, CHESTERFIELD, MO, 63017.

GREGORY JOSEPH WATERS has worked at LPL FINANCIAL LLC since February 14, 2018

Disclosure History

GREGORY JOSEPH WATERS has 2 Disclosure Event(s).

Date: January 26, 2010
Category: Customer Dispute
Allegations: CLIENT ALLEGES REGISTERED REPRESENTATIVE RECOMMENDED AN UNSUITABLE INVESTMENT.
Damage Amount Requested: $20,000.00
Settlement Amount: $10,000.00
Broker Comment: BECAUSE THE $20,000 DAMAGE CLAIM WAS FAR LESS THAN THE PROJECTED COST OF DEFENSE, AND IN THE INTEREST OF GOOD CUSTOMER RELATIONS, INVEST DECIDED TO REACH AN AMIABLE, OUT-OF-COURT SETTLEMENT. INVEST BELIEVES THAT THE INVESTMENT WAS AN APPROPRIATE RECOMMENDATION FOR CLAIMANT. ITS' LESS THAN HOPED FOR PERFORMANCE WAS THE RESULT OF MARKET FACTORS.

Date: March 24, 2005
Category: Customer Dispute
Allegations: CLIENT ALLEGES UNSUITABLE INVESTMENTS. ALLEGATIONS ARE FOR TIME PERIOD SEPTEMBER 2000 THROUGH OCTOBER 2004.
Damage Amount Requested: $90,000.00

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

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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