JAMES BERNARD POOLE

JAMES BERNARD POOLE is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 807 GERVAIS ST STE 302, COLUMBIA, SC, 29201.

JAMES BERNARD POOLE has worked at LPL FINANCIAL LLC since May 04, 2018

Disclosure History

JAMES BERNARD POOLE has 4 Disclosure Event(s).

Date: July 14, 2015
Category: Customer Dispute
Allegations: CUSTOMER HAS BEEN INVESTED IN PRECIOUS METALS SINCE 2007. CUSTOMER EXPRESSED CONCERNS OVER THE DECLINE IN VALUE OF HER INVESTMENTS.
Settlement Amount: $30,000.00
Broker Comment: The Firm denied any and all liability but was desirous of concluding this dispute for economic reasons only, without any admission of wrongdoing.

Date: October 18, 2004
Category: Customer Dispute
Allegations: ON OCTOBER 18, 2004, [CUSTOMER] ALLEGED THAT MR. POOLE SOLD HIS 6,000 SHARE POSITION IN OLYMPIC STEEL IN MARCH OF 2004 WITHOUT RECEIVING AUTHORIZATION TO DO SO. [CUSTOMER] ASKED THAT THE POSITION BE RESTORED TO HIS ACCOUNT.
Damage Amount Requested: $35,360.60
Settlement Amount: $35,360.60

Date: March 24, 2003
Category: Customer Dispute
Allegations: CLIENT ALLEGES UNSUITABLE RECOMMENDATIONS.
Damage Amount Requested: $30,000.00
Settlement Amount: $9,500.69

Date: June 21, 2001
Category: Customer Dispute
Allegations: A GUARDIAN FOR CUSTOMER ALLEGED THAT CUSTOMER WAS INCOMPETENT AT THE TIME HE AGREED TO AN EXCHANGE OF ANNUITY PRODUCTS, AND THAT THE BROKER IMPROPERLY ASSISTED IN THAT TRANSFER.
Settlement Amount: $9,900.00

More Information

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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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