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
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