KENNETH BRIAN HECK

KENNETH BRIAN HECK is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 1180 N TOWN CENTER DR, STE 150, LAS VEGAS, NV, 89144.

KENNETH BRIAN HECK has worked at LPL FINANCIAL LLC since July 03, 2013

Disclosure History

KENNETH BRIAN HECK has 2 Disclosure Event(s).

Date: December 20, 2011
Category: Customer Dispute
Allegations: THE CUSTOMER ALLEGES UNSUITABLE INVESTMENT RECOMMENDATIONS. COMPENSATORY DAMAGES ARE NOT SPECIFIED.

Date: December 08, 2008
Category: Customer Dispute
Allegations: CLIENT ALLEGES THAT INSTRUCTIONS WERE GIVEN TO INVEST IN A SAFE SECURE PLACE. FURTHER ALLEGES HER INSTRUCTIONS WERE NOT FOLLOWED WHICH LEAD TO LOSS OF $7,000. (09/08/2008)
Damage Amount Requested: $7,000.00
Settlement Amount: $7,000.00
Broker Comment: THE FIRM MADE A BUSINESS DECISION TO SETTLE THE COMPLAINTRECOMMENDED A SUITABLE BOND FUND TO A CONSERVATIVE CLIENT. FUND DECLINED DUE TO CREDIT MARKET CRISIS OF 2008

More Information

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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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