JAMES MURRAY PAUL

JAMES MURRAY PAUL is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 1444 E LACKAWANNA AVE, SUITE 107, OLYPHANT, PA, 18447.

JAMES MURRAY PAUL has worked at LPL FINANCIAL LLC since July 31, 2012

Disclosure History

JAMES MURRAY PAUL has 1 Disclosure Event(s).

Date: April 28, 2009
Category: Customer Dispute
Allegations: CLAIMANT ALLEGES SHE WAS NOT INFORMED OF THE PENALTIES ASSOCIATED WITH A WITHDRAWAL FROM A VARIABLE ANNUITY.
Damage Amount Requested: $13,000.00
Settlement Amount: $7,450.90

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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