JAMES ROBERT LAUGHLIN is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 18750 STONE OAK PKWY., SAN ANTONIO, TX, 78258-4138.
JAMES ROBERT LAUGHLIN has worked at LPL FINANCIAL LLC since July 05, 2011
Disclosure History
JAMES ROBERT LAUGHLIN has 1 Disclosure Event(s).
Date: November 28, 2006 Category: Customer Dispute Allegations: ON 10/25/2006, CLIENT PURCHASED INDEX-LINKED CD. CLIENT CLAIMS SHE WAS ASSURED BY THE REPRESENTATIVE THIS WAS A SAFE INVESTMENT. HER OCTOBER STATEMENT MISTAKENLY PRICED THE SECURITY $25,000 LOWER THAN HER INITIAL INVESTMENT. CORRECTED STATEMENT ISSUED. NO ACTUAL DAMAGES OCCURRED. Damage Amount Requested: $25,000.00 Broker Comment: UVEST'S COMMENTS: THE POSITION WAS VALUED INCORRECTLY BY CLEARING FIRM. VALUATION WAS QUICKLY CORRECTED IN THE CUSTOMER'S ACCOUNT.
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