KEVIN MICHAEL FOX is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 12 COMMERCE DR, WYOMISSING, PA, 19610.
KEVIN MICHAEL FOX has worked at LPL FINANCIAL LLC since February 14, 2018
Disclosure History
KEVIN MICHAEL FOX has 2 Disclosure Event(s).
Date: October 16, 2015 Category: Customer Dispute Allegations: Misrepresentation of 1031 investment Damage Amount Requested: $2,160,495.18 Settlement Amount: $200,000.00 Broker Comment: I purchased a book of business that had investments in DBSI Notes that went through a bankruptcy proceeding. I did not advise these clients to purchase this investment. This complaint was settle by my prior broker/dealer, I was not required to contribute to the settlement.
Date: February 01, 2010 Category: Customer Dispute Allegations: CUSTOMER ALLEGES UNSUITABLE INVESTMENTS. Damage Amount Requested: $310,000.00 Settlement Amount: $6,600.00 Broker Comment: THIS COMPLAINT WAS SETTLED BY MY PRIOR BROKER/DEALER DUE TO PROBLEMS THAT EXISTED WITH THE DUE DILIGENCE REVIEW OF THE MEDICAL CAPITAL AND PROVIDENT PRODUCTS BEFORE BEING OFFERED FOR SALE BY THE FIRM. I WAS NOT REQUIRED TO CONTRIBUTE TO THE SETTLEMENT, AS THIS ISSUE EXISTS FOR MANY REPRESENTATIVES AND CLIENTS.
More Information
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