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
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