JOHN MARTIN FENTON

JOHN MARTIN FENTON is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 31 HAYWARD STREET, 2ND FLOOR, FRANKLIN, MA, 02038.

JOHN MARTIN FENTON has worked at LPL FINANCIAL LLC since December 17, 2010

Disclosure History

JOHN MARTIN FENTON has 1 Disclosure Event(s).

Date: October 28, 2002
Category: Customer Dispute
Allegations: THE CLIENT ALLEGED I DID NOT PLACE HIM IN CONSERVATIVE FUNDS AS HE HAD REQUESTED AND THIS RESULTED IN A LOSS OF HIS PRINCIPLE.
Damage Amount Requested: $88,956.00
Broker Comment: THE FIRM FOUND I RECOMMENDED SUITABLE MUTUAL FUNDS THAT WERE CONSISTENT WITH THE CLIENT'S GOALS, OBJECTIVES AND RISK TOLERANCE. THE CLIENT INDICATED A MODERATE RISK TOLERANCE ON THE INVESTMENT APPLICATION HE SIGNED. WHEN I PRESENTED RECOMMENDATIONS CONCERNING HIS DECLINING INVESTMENT PORTFOLIO, THE CLIENT DECLINED TO APPROVE OF ANY CHANGES.

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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