HUNTER LEON LITTLE is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 3840 BELFORT ROAD SUITE 103, JACKSONVILLE, FL, 32216.
HUNTER LEON LITTLE has worked at LPL FINANCIAL LLC since September 09, 2004
Disclosure History
HUNTER LEON LITTLE has 1 Disclosure Event(s).
Date: December 14, 2016 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT TRANSACTIONS BETWEEN JULY 2014 AND SEPTEMBER 2016 WERE UNSUITABLE. Damage Amount Requested: $49,571.18 Settlement Amount: $22,500.00 Broker Comment: REPRESENTATIVE DENIED ALLEGATIONS, AND COMPLAINT WAS SETTLED TO AVOID POTENTIAL COSTS AND ALLOCATION OF RESOURCES TO POSSIBLE LITIGATION OF MATTER. DURING THE 26 MONTHS THAT THE CLIENT MAINTAINED HER ACCOUNT, INVESTMENTS WERE REGULARLY MONITORED FOR CONTINUED CONFORMANCE WITH THE RISK PROFILE DERIVED FROM QUESTIONNAIRE RESPONSES. REPRESENTATIVE CONDUCTED REGULAR REVIEW MEETINGS WITH CLIENT DURING THE ENTIRE RELATIONSHIP PERIOD. DESPITE REPRESENTATIVE'S BEST EFFORTS TO IDENTIFY SUITABLE INVESTMENTS, CLIENT'S ACCOUNT DECLINED IN VALUE DURING THE OVERALL MARKET DECLINE THAT OCCURRED IN THE SECOND HALF OF 2015, AND THE DECLINE IN BOND VALUES DUE TO INTEREST RATE CHANGES DURING THE SECOND HALF OF 2016.
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