JEFFREY SCOTT THOMPSON

JEFFREY SCOTT THOMPSON is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 225 E. STUART AVENUE, LAKE WALES, FL, 33859.

JEFFREY SCOTT THOMPSON has worked at LPL FINANCIAL LLC since May 25, 2017

Disclosure History

JEFFREY SCOTT THOMPSON has 1 Disclosure Event(s).

Date: March 21, 2018
Category: Customer Dispute
Allegations: Arbitration: Claimant alleges FA over-concentrated his portfolio in unsuitable investments. Complaint: Client alleged FA, without authorization, rolled over Client's retirement plan and made recommendations that did not meet his capital preservation and income objectives. (1/29/2016-8/21/2017)
Damage Amount Requested: $759,745.00

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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