JOSEPH R FERREIRA

JOSEPH R FERREIRA is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 522 MAIN ST, WINCHESTER, MA, 01890.

JOSEPH R FERREIRA has worked at LPL FINANCIAL LLC since January 15, 2016

Disclosure History

JOSEPH R FERREIRA has 1 Disclosure Event(s).

Date: May 10, 2016
Category: Customer Dispute
Allegations: CLIENT MADE INVESTMENTS IN JANUARY 2O11 AND APRIL 2015. CLIENT ALLEGES SHE HAS BEEN POORLY ADVISED WHEN SHE MOVED HER IRA TO CITIZENS. HAD TO PAY $14,800 TAXES. ALLEGES HER INVESTMENTS WERE POORLY HANDLED OVER 5 YEARS. ALLEGES PAID FEES FOR POOR ADVICE OVER 5 YEARS.
Damage Amount Requested: $11,924.17

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

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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