KATHERINE DENISE TARR is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 9375 E SHEA BLVD. SUITE 100, SCOTTSDALE, AZ, 85260.
KATHERINE DENISE TARR has worked at LPL FINANCIAL LLC since November 29, 2017
Disclosure History
KATHERINE DENISE TARR has 1 Disclosure Event(s).
Date: February 26, 1998 Category: Customer Dispute Allegations: CLIENT ALLEGED THAT SALE OF SHARES OFMICROSOFT CORP. ON DECEMBER 19, 1997 WAS UNAUTHORIZES. AT THETIME OF THE COMPLAINT, DAMAGES WERE ESTIMATED AT APPROXIMATELY$7,000. Damage Amount Requested: $7,000.00 Settlement Amount: $1,500.00 Broker Comment: WITH MY KNOWLEDGE AND CONSENT, THE FIRM SETTLEDWITH THE CLIENT FOR $1,500.CUSTOMER LEFT A MESSAGE THAT HE WANTED TOIMMEDIATELY SELL HIS SHARES OF MICROSOFT CORP. ON 12/19/97.TRADE WAS PLACED AND VERBALLY CONFIRMED WITH CUSTOMER LATERTHAT SAME DAY. CUSTOMER COMPLAINED THAT THE TRADE WASN'TPLACED IMMEDIATLEY THAT MORNING, RESULTING IN A LOSS OF $502.CUSTOMER DECLINED OFFER MADE ON 12/19 TO CANCEL THE TRADE. TWOMONTHS LATER, CUSTOMER ALLEGED THAT HE NEVER AUTHORIZED THESALE. THE FIRM, WHILE FINDING NO MERIT TO THE CUSTOMER'SCLAIM, SETTLED WITH THE CUSTOMER WITH MY CONSENT.
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