KENT WARREN LIPHAM is currently employed as a Broker and/or Investment Adviser at BENJAMIN F. EDWARDS & COMPANY, INC. located at 1151 Office Woods Dr., Suite B, Pensacola, FL, 32504.

KENT WARREN LIPHAM has worked at BENJAMIN F. EDWARDS & COMPANY, INC. since May 19, 2014

Disclosure History

KENT WARREN LIPHAM has 2 Disclosure Event(s).

Date: December 01, 2017
Category: Customer Dispute
Allegations: Client orally complained on December 1, 2017 and alleged that she had recently learned the mutual fund purchased October 27, 2015, which she still owned, was intended to be short-term and she should have been advised to sell within a few months of purchase. Client requested reimbursement for her losses.
Settlement Amount: $35,000.00
Broker Comment: Without admitting fault or liability, the firm made a business decision to settle the matter to obviate the cost and uncertainty of a potential litigation.

Date: June 20, 2017
Category: Customer Dispute
Allegations: Clients allege that the advice to purchase an aggressive growth mutual fund on December 11 and 21, 2015 was not consistent with their conservative growth and income investment objective.
Settlement Amount: $17,500.00

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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