JAY PATRICK IRVING

JAY PATRICK IRVING is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 800 HINGHAM STREET, ROCKLAND, MA, 02370.

JAY PATRICK IRVING has worked at LPL FINANCIAL LLC since August 08, 1996

Disclosure History

JAY PATRICK IRVING has 1 Disclosure Event(s).

Date: January 19, 2010
Category: Customer Dispute
Allegations: ALLEGES UNSUITABLE INVESTMENT IN EQUITIES AND MUTUAL FUNDS
Damage Amount Requested: $500,000.00
Settlement Amount: $127,375.00
Broker Comment: FIRM ACCOMMODATED CUSTOMER TO AVOID FURTHER LITIGATION AND DENIES ALL ALLEGED WRONGDOING.

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.

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