JOSHUA ROSS STARK is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 4000 Legato Rd, Suite 410, Fairfax, VA, 22033.
JOSHUA ROSS STARK has worked at LPL FINANCIAL LLC since October 19, 2016
Disclosure History
JOSHUA ROSS STARK has 3 Disclosure Event(s).
Date: April 01, 2011 Category: Customer Dispute Allegations: THE CLIENT'S SPOUSE ALLEGED THE REITS PURCHASED IN MAY 2010 WERE MISREPRESENTED. Damage Amount Requested: $46,000.00
Date: December 29, 2008 Category: Customer Dispute Allegations: CLIENT ALLEGED HIS ADVISOR DID NOT DISCLOSE THE PRODUCTS FEATURES ASSOCIATED WITH A VUL POLICY PURCHASED IN MARCH 2007. Damage Amount Requested: $9,010.00 Broker Comment: THE FIRM FOUND THE CLIENT RECEIVED DISCLOSURE THROUGH MEETINGS WITH THE ADVISOR,THE SIGNED APPLICATION, THE SIGNED ILLUSTRATIONS,THE PROSPECTUS AND THE INSURANCE POLICY.
Date: December 17, 2008 Category: Customer Dispute Allegations: CLIENT ALLEGED THE ADVISOR RECOMMENDED INAPPROPRIATE INVESTMENTS WITHOUT PROPERLY DISCLOSING THE ASSOCIATED FEES AND SURRENDER CHARGES. INVESTMENTS PURCHASED JULY 2005 TO DECEMBER 2008. Damage Amount Requested: $5,000.00 Broker Comment: THE FIRM FOUND THE INVESTMENTS RECOMMENDED BY THE ADVISOR WERE APPROPRIATE FOR THE CLIENT'S GOALS AND OBJECTIVES, AND PROPER DISCLOSURE WAS PROVIDED.
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.
To view the full report for JOSHUA ROSS STARK, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.