KENNETH MICHAEL PEAVY is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 3401 MALCOLM DRIVE, MONTGOMERY, AL, 36116.
KENNETH MICHAEL PEAVY has worked at LPL FINANCIAL LLC since June 04, 2015
Disclosure History
KENNETH MICHAEL PEAVY has 1 Disclosure Event(s).
Date: August 04, 2015 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT REP MISREPRESENTED THE VARIABLE ANNUITY HE PURCHASED IN NOVEMBER OF 2014 AND ADDED TO ON TWO SUBSEQUENT OCCASIONS. Damage Amount Requested: $5,000.00 Settlement Amount: $6,000.00 Broker Comment: WITHOUT ADMITTING LIABILITY, THE FIRM SETTLED THIS MATTER TO AVOID CONTROVERSY AND FURTHER EXPENSE. REP DENIES THE ALLEGATION OF ANY WRONGDOING ON HIS PART. THE INVESTMENT WAS SUITABLE BASED ON MULTIPLE DISCUSSIONS WITH THE CLIENT AND THE CLIENT WAS FULLY AWARE OF THE INVESTMENT BEFORE PAPERWORK WAS SIGNED. THE INVESTMENT WAS RECOMMENDED ON THE OBJECTIVES THE CLIENT GAVE TO THE ADVISOR.
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