JAMES MARSHALL MARS

JAMES MARSHALL MARS is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 5001 SPRING VALLEY ROAD, STE 200W, DALLAS, TX, 75244.

JAMES MARSHALL MARS has worked at LPL FINANCIAL LLC since October 01, 2013

Disclosure History

JAMES MARSHALL MARS has 2 Disclosure Event(s).

Date: November 30, 1998
Category: Civil Bond
Disposition: Payout Payout Detail: 24156.64; 11/30/98 Broker Comment: ADJUSTMENTS WERE MADE TO RE-ALLOCATE EACHCONTRIBUTION MADE OVER THE 2 YEAR PERIOD. THE TOTAL ADJUSTMENT WAS $24,156.64. SUBMITTED CLAIM TO E&0 CARRIER.

Date: August 01, 1997
Category: Customer Dispute
Allegations: ALLEGED FAILURE TO PROPERLY ALLOCATE MONTHLYCONTRIBUTIONS IN CLIENTS' VARIABLE ANNUITY CONTRACTS. THEAMOUNT OF DAMAGES WAS $24,156.64 THE FIRM I WAS WORKING FOR WAS ASCEND FINANCIAL SERVICES.
Damage Amount Requested: $24,156.64
Settlement Amount: $24,156.64
Broker Comment: ADJUSTMENTS WERE MADE TO RE-ALLOCATE EACH CONTRIBUTION MADE OVER THE TWO YEAR PERIOD. THE TOTAL ADJUSTMENT WAS $24,156.64. THE SETTLEMENT IN THIS CASE WAS NOT BASED ON ANY MISCONDUCT BY JIM MARS, MINNESOTA LIFE, OR ASCEND FINANCIAL SERVICES, INC. BASED ON OBVIOUS DIFFERENCES OF OPINION, WE CHOSE TO SETTLE THE MATTER IN THE BENEFIT OF THE CLAIMANT. THIS SHOULD NOT BE PERCEIVED AS ANY ADMISSION OF FAULT.

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