KALPANA DILIP SHAH

KALPANA DILIP SHAH is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 1740 W BIG BEAVER RD STE 207, TROY, MI, 48084-3507.

KALPANA DILIP SHAH has worked at LPL FINANCIAL LLC since June 18, 2004

Disclosure History

KALPANA DILIP SHAH has 1 Disclosure Event(s).

Date: April 21, 2003
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES UNSUITABILITY, IMPROPER SOLICITATION AND MISREPRESENTATION REGARDING HIS PURCHASE OF VARIABLE LIFE INSURANCE.
Damage Amount Requested: $32,000.00
Settlement Amount: $16,000.00

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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