KEVIN E. MCGILLIVRAY

KEVIN E. MCGILLIVRAY is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 10 ELM ST 2ND FL, DANVERS, MA, 01923-2848.

KEVIN E. MCGILLIVRAY has worked at LPL FINANCIAL LLC since October 30, 2013

Disclosure History

KEVIN E. MCGILLIVRAY has 1 Disclosure Event(s).

Date: August 02, 2007
Category: Customer Dispute
Allegations: ON 7/25/07 [CUSTOMER] SENT AN E-MAIL TO MR. MCGILLIVRAY DURING TRADING HOURS ASKING THAT HIS ACCOUNT BE LIQUIDATED. MR. MCGILLIVRAY REPLIED THAT HE WOULD DO AS INSTRUCTED HOWEVER MR. MCGILLIVRAY DID NOT SUBMIT THE TRANSACTION REQUEST UNTIL AFTER TRADING HOURS THAT DAY.
Damage Amount Requested: $16,671.18
Settlement Amount: $16,671.18

More Information

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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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