JOHN ROBERT MARSHALL is currently employed as a Broker and/or Investment Adviser at LINCOLN FINANCIAL ADVISORS CORPORATION located at 130 NORTH BRAND BOULEVARD, SUITE 400, GLENDALE, CA, 91203.
JOHN ROBERT MARSHALL has worked at LINCOLN FINANCIAL ADVISORS CORPORATION since June 01, 1998
JOHN ROBERT MARSHALL has 1 Disclosure Event(s).
Date: August 04, 2009 Category: Customer Dispute Allegations: THE CLIENTS ALLEGED THE REPRESENTATIVE AND OUTSIDE MONEY MANAGER CREATED AN UNSUITABLE INVESTMENT PORTFOLIO FOR THEIR MANAGED ACCOUNT ESTABLISHED IN JANUARY 2008 THAT WAS INCOSISTANT WITH THEIR STATED OBJECTIVE AND LOW RISK TOLERANCE. Damages Granted: $1,760,500.00 Broker Comment: MY BUSINESS PARTNER AND I CONSTRUCTED A DIVERSIFIED PORTFOLIO FOR A CONSERVATIVE, HIGH NET WORTH INVESTOR WITH A LONG-TERM TIME HORIZON AND A SUBSTANTIAL PERCENTAGE OF TOTAL ASSETS IN CASH AND BONDS. INCLUDED IN THE PORTFOLIO WAS A MARKET NEUTRAL FEEDER FUND, THE SINGLE MANAGER OF WHICH PERPETRATED ONE OF THE LARGEST FRAUDS IN INVESTMENT HISTORY. THE SELECTION OF THE MANAGER WAS AT THE SOLE DISCRETION OF THE FEEDER FUND. INVESTMENT LOSSES WERE RETURNED TO THE CLAIMANT. ZERO MONIES WERE PAID TO THE CLAIMANT DIRECTLY BY US OR BY OUR INSURANCE POLICIES. I SINCERELY BELIEVE THAT ALL ACTIONS, ACTIVITIES AND TRANSACTIONS PERFORMED BY ME WERE ETHICAL, PROFESSIONAL AND IN ACCORDANCE WITH STANDARDS GOVERNING INVESTMENT PLANNING FUNDAMENTALS AND PRACTICES AND THE SALE OF INVESTMENT RELATED PRODUCTS. CLAIMANT IS A SOPHISTICATED INVESTOR AND THE INVESTMENT PORTFOLIO WAS DETERMINED WITH HIS FULL KNOWLEDGE AND UNDERSTANDING. HE KNEW AND UNDERSTOOD EXACTLY HOW THE INVESTMENT PLANNING PROCESS WORKED, HE WAS ACTIVELY INVOLVED AT EACH STEP OF THE PROCESS AND HE WAS IN TOTAL CONTROL OF ALL DECISION MAKING. CLAIMANT'S INVESTMENT PORTFOLIO WAS CONSISTENT WITH HIS STATED INVESTMENT GOALS AND OBJECTIVES.
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