HARVEY GERALD STEIN

HARVEY GERALD STEIN is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 7000 W. PALMETTO PARK RD, SUITE 500, BOCA RATON, FL, 33433.

HARVEY GERALD STEIN has worked at LPL FINANCIAL LLC since August 03, 2011

Disclosure History

HARVEY GERALD STEIN has 2 Disclosure Event(s).

Date: July 06, 2016
Category: Customer Dispute
Allegations: CLAIMANT ALLEGES THAT ADVISOR MADE UNSUITABLE INVESTMENT RECOMMENDATIONS IN REITS, BUSINESS DEVELOPMENT CORPS, AND MUTUAL FUNDS.
Broker Comment: THIS LAWSUIT WAS INITIATED BY THE CUSTOMER'S NIECE FOLLOWING THE DEATH OF THE CUSTOMER. THE ADVISOR AND LPL DENIED THE ALLEGATIONS AND PROVIDED DETAILED INFORMATION TO THE CLAIMANT REGARDING THE OVERALL POSITIVE PERFORMANCE OF THE RECOMMENDED PORTFOLIO. THE MATTER WAS VOLUNTARILY DISCONTINUED BY THE CLAIMANT. NO SUMS WERE PAID BY LPL OR THE ADVISOR.

Date: March 06, 2009
Category: Customer Dispute
Allegations: CUSTOMER'S DAUGHTER ALLEDGES THAT REPRESENTATIVE WAS NEGLEGENT IN THE HANDLING OF A BENEFICIARY CHANGE ON CUSTOMER'S ANNUITY AND IRA ACCOUNT.
Damage Amount Requested: $50,000.00
Settlement Amount: $14,990.00

More Information

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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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