JAMES E CONWELL is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 1055 LPL WAY, FORT MILL, SC, 29715.
JAMES E CONWELL has worked at LPL FINANCIAL LLC since April 15, 2008
Disclosure History
JAMES E CONWELL has 2 Disclosure Event(s).
Date: June 20, 2008 Category: Customer Dispute Allegations: CUSTOMER ALLEGES MISREPRESENTATION REGARDING A MUTUAL FUND PURCHASED ON 12/6/06. Damage Amount Requested: $35,000.00 Settlement Amount: $14,500.00 Broker Comment: THE FIRM SETTLED THE COMPLAINT TO AVOID THE COST AND UNCERTAINTY OF LITIGATION, WITH NO ADMISSION OF WRONGDOING AND NO MONETARY CONTRIBUTION FROM THE REPRESENTATIVE.
Date: March 12, 2008 Category: Customer Dispute Allegations: CUSTOMER ALLEGES MISREPRESENTATION REGARDING A MUTUAL FUND PURCHASED ON 04/30/07. Damage Amount Requested: $73,873.31 Settlement Amount: $39,000.00 Broker Comment: THE FIRM SETTLED THE COMPLAINT TO AVOID THE COST AND UNCERTAINTY OF LITIGATION, WITH NO ADMISSION OF WRONGDOINGS AND NO MONETARY CONTRIBUTION FROM THE REPRESENTATIVE.
More Information
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