JOHN GAYNOR VENNE is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 923 HADDONFIELD ROAD, SUITE 300, CHERRY HILL, NJ, 08002.
JOHN GAYNOR VENNE has worked at LPL FINANCIAL LLC since August 27, 2015
Disclosure History
JOHN GAYNOR VENNE has 1 Disclosure Event(s).
Date: February 11, 2015 Category: Customer Dispute Allegations: CO-TRUSTEE OF BENEFICIARY TRUST ALLEGES THAT SUITABILITY CRITERIA WERE NOT FOLLOWED BY THE ASSOCIATED PERSON IN CONNECTION WITH TWO ANNUITY SALES. Damage Amount Requested: $17,448.00 Broker Comment: CLIENT HAD THE MONEY IN TREASURIES FOR OVER 10 YEARS. AS RATES WERE DECLINING IN 2009, CLIENT WAS LOOKING FOR A SAFE VEHICLE TO PARK MONEY AND EARN A HIGHER RATE OF RETURN WITH GUARANTEED RETURN OF PRINCIPAL. CLIENT WAS AWARE OF DEFERRED SURRENDER CHARGES ON INTEREST ONLY SHOULD THEY NEED THE FUNDS; FIXED ANNUITY WAS 100% PRINCIPAL PROTECTED. CLIENT PROFITED FROM OVERALL TRANSACTION, BUT STILL WANTED TO GET OUT OF CONTRACT EARLY.
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