JOHN CONRAD BUSER

JOHN CONRAD BUSER is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 60 N. COUNTRY RD STE 103, PORT JEFFERSON, NY, 11777.

JOHN CONRAD BUSER has worked at LPL FINANCIAL LLC since October 01, 2014

Disclosure History

JOHN CONRAD BUSER has 2 Disclosure Event(s).

Date: October 18, 2016
Category: Customer Dispute
Allegations: CUSTOMERS ALLEGED SUITABILITY, MISREPRESENTATION, AND FAILURE TO DISCLOSE FEES REGARDING A REITS TRANSACTION. CUSTOMERS ALLEGED FAILURE TO DISCLOSE ADVISORY ACCOUNT FEES. ACTIVITY PERIOD 3/7/16 - 10/18/16.
Settlement Amount: $2,500.00
Broker Comment: THIS MATTER WAS RESOLVED WITHOUT ANY ADMISSION OF LIABILITY (WHICH WAS AND REMAINS DENIED) AND SOLEY AS A BUSINESS DECISION IN ORDER TO BRING THIS MATTER TO CLOSURE. THIS MATTER WAS RESOLVED WITH NO CONTRIBUTION FROM THE REGISTERED REPRESENTATIVE. THE REGISTERED REPRESENTATIVE DENIES ANY AND ALL WRONGDOING WITH RESPECT TO THIS MATTER AND MAINTAINS THAT THE INVESTMENTS AT ISSUE WERE FULLY APPROVED AND ACKNOWLEDGED, AND WERE SUITABLE IN ALL RESPECTS BASED ON THE CIRCUMSTANCES DISCLOSED BY THE CUSTOMER AT THE TIME OF PURCHASE AND CONSISTENT WITH HER STATED INVESTMENT OBJECTIVES.

Date: September 21, 1976
Category: Criminal
Charges: 1 MISDEMEANOR CHARGE P.L. 165.15 THEFT OF SERVICES GUILTY PLEA TO AMENDED CHARGE; VIOLATION; 240.20 DISORDERLY CONDUCT. Charge Type: MISDEMEANOR
Disposition: A-PLED GUILTY TO VIOLATION 240.20 DISORDERLY CONDUCTB-10/18/1976 C-$50.00 FINED-FINE PAID 10/18/19/1976
Broker Comment: ON 9/1/76, I LEFT A SANDWICH SHOP WITHOUT PAYING FOR THE SANDWICH. 9/21/76 CHARGED WITH MISDEMEANOR P.L. 165.15 THEFT OF SERVICE. 10/18/76 PLED GUILTY TO VIOLATION 240.20 DISORDERLY CONDUCT AND PAID $50.00 FINE.

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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