JOHN ROBERT RESSLER is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 19 S DELAWARE AVE, MASON CITY, IA, 50401.
JOHN ROBERT RESSLER has worked at LPL FINANCIAL LLC since February 14, 2018
Disclosure History
JOHN ROBERT RESSLER has 2 Disclosure Event(s).
Date: October 31, 2013 Category: Customer Dispute Allegations: CLIENT ALLEGES SHE DID NOT WANT HER PRINCIPAL AT RISK AND DID NOT WANT ANY FEES, AND WANTED THE ACCOUNT IN JOINT REGISTRATION. CLIENT ALSO STATED SHE DID NOT RECEIVE CONTRACT. Damage Amount Requested: $8,908.78 Broker Comment: CLIENT RECEIVED INITIAL PREMIUM AS INSURANCE COMPANY AGREED TO FREE-LOOK THE CONTRACT AT THE CLIENT'S REQUEST.
Date: August 19, 1996 Category: Customer Dispute Allegations: NEGLIGENCE IN HANDLING OF CUSTOMER'S ACCOUNT. ORIGINAL COMPLAINT ALLEGED FRAUD, BUT ALLEGATION OF FRAUD WAS DROPPED PRIOR TO TRIAL. Damage Amount Requested: $138,165.00 Damages Granted: $125,000.00 Broker Comment: ALTHOUGH PRINCOR PREVIOUSLY REPORTED THAT JUDGEMENT WAS AWARDED ON 7/2/98. PRINCOR BECAME AWARE THAT FRAUD WAS DROPPED AS AN ALLEGATION ON 4/28/11. PRINCOR, AT THE TIME, HAD NO ARBITRATION AGREEMENT. CIVIL LITIGATION JUDGEMENT: PLAINTIFF AND DEFENDANT BOTH FOUND NEGLIGENT. 40% OF TOTAL FAULT ATTRIBUTED TO PLAINTIFF AND 60% TO DEFENDANT. CLIENT SOLD STOCK TO FUND MUTUAL FUNDS THAT HAD APPRECIATED IN VALUE AND INCURRED TAX LIABILITY. FINAL MONETARY SETTLEMENT TO PLAINTIFF OF $125,000 OF WHICH ½ PAID BY BROKER DEALER AND ½ PAID BY DEFENDANT'S E & O CARRIER.
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