JAMES SALVATORE MANTIONE is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 1520 202nd Street, Apt. 4C, Bayside, NY, 11360.
JAMES SALVATORE MANTIONE has worked at LPL FINANCIAL LLC since February 03, 2011
Disclosure History
JAMES SALVATORE MANTIONE has 3 Disclosure Event(s).
Date: November 13, 2009 Category: Customer Dispute Allegations: CLIENT ALLEGES REGISTERED REP CLAIMED THAT SHE HAD MONEY AT CHASE BANK WHICH THE REGISTERED REP ADVISED HER TO INVEST. THE CLIENT CLAIMS THESE FUNDS WERE ACTUALLY HELD WITH AN AFFILIATE AND SHE DID NOT WANT TO INVEST THESE FUNDS. ACTIVITY DATES 09/18/2009-09/18/2009. Damage Amount Requested: $8,522.00
Date: May 12, 2009 Category: Customer Dispute Allegations: CLIENT ALLEGED MISREPRESENTATION AS THE REGISTERED REP FAILED TO INFORM HIM OF THE CANCELLATION OF HIS STOP-LOSS ORDER. ACTIVITY DATES 08/15/08-09/05/08. Damage Amount Requested: $5,000.00 Settlement Amount: $10,521.66
Date: February 14, 2005 Category: Employment Separation After Allegations Firm Name: IFMGSI Termination Type: Discharged Allegations: POOR JUDGEMENT, FAILING TO IDENTIFY AN ANNUITY TRANSACTION AS A REPLACEMENT IN ACCORDANCE WITH NYS REGULATION 60. Broker Comment: THE CLIENT DID NOT WANT TO WAIT TO RECIEVE HIS FUNDS FROM THE ANNUITY TO PURCHASE A LIFE INSURANCE POLICY SO HE WROTE A LOI THAT I SENT IN FOR HIM TO RECIEVE CHECK QUICKER
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