JAN JAMES KLEIN is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 401 NE 19TH AVE STE 150, PORTLAND, OR, 97232-4808.
JAN JAMES KLEIN has worked at LPL FINANCIAL LLC since January 15, 2010
Disclosure History
JAN JAMES KLEIN has 3 Disclosure Event(s).
Date: January 31, 2011 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: January 31, 2011 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: September 05, 2001 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT SALES OF MUNICIPAL BONDS WERE UNSUITABLE, AND THAT CASH WAS USED TO MAKE UNAUTHORIZED SECURITIES PURCHASES. Damage Amount Requested: $60,336.78 Broker Comment: I DENY THE ALLEGATIONS MADE BY THE CUSTOMER IN HER COMPLAINT TO THE NASD AS THEY ARE WITHOUT MERIT. I MET WITH THE CUSTOMER IN PERSON ON FIVE SEPARATE OCCASIONS BETWEEN THE MONTHS OF SEPTEMBER 1999 AND FEBRUARY 2000 BEFORE ANY TRANSACTIONS OCCURRED IN HER ACCOUNTS. THESE MEETINGS WERE CONDUCTED TO UNDERSTAND THE CUSTOMER'S OBJECTIVES AND PROVIDE PERSONALIZED INVESTMENT RECOMMENDATIONS. I RECEIVED INSTRUCTIONS AND APPROVAL FROM THE CUSTOMER ON EACH TRANSACTION BY PHONE BEFORE ANY TRANSACTIONS IN HER ACCOUNTS OCCURRED. PAINEWEBBER ALSO MAILED THE CUSTOMER A WRITTEN CONFIRMATION OF EACH TRANSACTION THAT OCCURRED IN HER ACCOUNT. THE RECOMMENDATIONS I PRESENTED TO THE CUSTOMER, WHICH SHE INSTRUCTED ME TO CARRY OUT, HAVE INCREASED THE CREDIT QUALITY OF HER INVESTMENT PORTFOLIO TO AAA CREDIT QUALITY BY STANDARD & POOR'S. THE RECOMMENDATIONS I PRESENTED TO THE CUSTOMER, WHICH SHE INSTRUCTED ME TO CARRY OUT, HAVE ALSO INCREASED IN VALUE FROM FEBRUARY 2000 TO CURRENT MARCH OF 2002 AND THEY HAVE INCREASED THE NET AFTER TAX INCOME SHE RECEIVES FROM HER INVESTMENT PORTFOLIO.
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