JAMES PATRICK BRAUN

JAMES PATRICK BRAUN is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 320 N. 4th Street, Bismark, ND, 58501.

JAMES PATRICK BRAUN has worked at LPL FINANCIAL LLC since November 29, 2017

Disclosure History

JAMES PATRICK BRAUN has 1 Disclosure Event(s).

Date: February 05, 2003
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES SHE WAS A CD INVESTOR WHO WAS PLACED IN A VA IN FEBRUARY 2000 AND WAS NOT TOLD THE INVESTMENT COULD GO DOWN IN VALUE.
Damage Amount Requested: $20,236.69
Broker Comment: FIRM RESPONDED TO CUSTOMER DENYING ALL ALLEGATIONS AND RECEIVED LETTER 02/21/2003 FROM STATE OF NORTH DAKOTA CLOSING FILE WITH NO FURTHER ACTION BEING TAKEN.

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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