JAMES KENNETH LYONS is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 89B MAIN STREET, LEBANON, NJ, 08833.
JAMES KENNETH LYONS has worked at LPL FINANCIAL LLC since February 17, 2012
Disclosure History
JAMES KENNETH LYONS has 2 Disclosure Event(s).
Date: March 12, 2010 Category: Customer Dispute Allegations: CLIENT ALLEGES IN HER STATEMENT OF CLAIM THAT IN MAY 2007 MR. LYONS FAILED TO ADVISE HER OF MATERIAL FACTS CONCERNING THE LIQIDATION OF A VARIABLE ANNUITY PRODUCT. CLIENT FURTHER ALLEGES THAT MR. LYONS MISREPRESENTED AND SOLD HER AN UNSUITABLE MANAGED ACCOUNT PRODUCT. Damage Amount Requested: $150,000.00 Settlement Amount: $15,000.00
Date: September 25, 2008 Category: Customer Dispute Allegations: CLIENT EXPRESSED DISSATISFACTION WITH THE SALES PRACTICES OF J. KENNETH LYONS. SPECIFICALLY CLIENT ALLEDGED THAT THE TRANSACTION WAS NOT AUTHORIZED. Settlement Amount: $5,000.00
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