JOHN ANDREW LEE is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 222 E CANON PERDIDO ST STE 305, SANTA BARBARA, CA, 93101.
JOHN ANDREW LEE has worked at LPL FINANCIAL LLC since April 15, 2016
Disclosure History
JOHN ANDREW LEE has 2 Disclosure Event(s).
Date: November 08, 2002 Category: Customer Dispute Allegations: BREACH OF FIDUCIARY DUTY, FRAUD, INTENTIONAL MISREPRESENTATION AND NEGLIGENCE FROM MARCH 10, 1998 THROUGH AUGUST 1, 2002. Damage Amount Requested: $150,000.00 Settlement Amount: $80,000.00
Date: November 21, 2000 Category: Customer Dispute Allegations: CLIENT ALLEGED THAT HER INSTRUCTIONS REGARDING WHAT TYPES OF STOCKS TO PURCHASE WERE NOT FOLLOWED. JANUARY - MARCH 2000. AMOUNT CLAIMED UNSPECIFIED. Broker Comment: THE CLIENT'S CLAIM WAS DENIED.
More Information
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