JEFFREY JAMES WREN

JEFFREY JAMES WREN is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 101 University Blvd Set 450, Denver, CO, 80206.

JEFFREY JAMES WREN has worked at LPL FINANCIAL LLC since November 29, 2017

Disclosure History

JEFFREY JAMES WREN has 2 Disclosure Event(s).

Date: October 17, 2008
Category: Financial
Type: Bankruptcy
Disposition: Discharged

Date: January 19, 2007
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES REPRESENTATIVE FORGED CLIENT SIGNATURE ON ACCOUNT TRANSFER FORM. CUSTOMER SIGNED AN ACCOUNT TRANSFER FORM ON 1/26/06. ACCOUNT DID NOT TRANSFER DUE TO MARRIED / MAIDEN NAME MISMATCH. CUSTOMER CANCELLED ACCOUNT TRANSFER AND CANCELLED ALL BUSINESS W/ REPRESENTATIVE APPROXIMATELY SIX MONTHS LATER IN JULY OF 2006. CLIENT'S ACCOUNT TRANSFERRED ON 10/27/2006 BASED ON A TRANSFER FORM THE CLIENT ALLEGES CONTAINED A FORGED SIGNATURE.
Settlement Amount: $553.38
Broker Comment: COMPLAINT RECEIVED DATE WAS A TYPO ERROR. 1/19/2007 IS CORRECT.

More Information

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

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