LEE DOUGLAS HOOKS is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 1167 TROTWOOD AVENUE, COLUMBIA, TN, 38401.
LEE DOUGLAS HOOKS has worked at LPL FINANCIAL LLC since March 28, 2011
Disclosure History
LEE DOUGLAS HOOKS has 1 Disclosure Event(s).
Date: September 03, 2015 Category: Customer Dispute Allegations: CLAIMANT ALLEGES SHORT-TERM TRADING CAUSED INVESTMENT LOSSES IN ONE OF HIS ACCOUNTS. Damage Amount Requested: $25,000.00 Settlement Amount: $4,000.00 Broker Comment: THIS CLAIM HAD NO MERIT WHATSOEVER (CLAIMANT ACTUALLY MADE MONEY AND SUFFERED NO LOSSES). IT WAS SETTLED BY LPL FOR NUISANCE VALUE SOLEY TO AVOID THE COST OF A TWO-DAY ARBITRATION HEARING WHICH WOULD HAVE EXCEEDED THE SETTLEMENT AMOUNT BY MANY MULTIPLES. LEE HOOKS DID ABSOLUTELY NOTHING WRONG AND THERE WAS NO FINDING BY FINRA OF ANY WRONGDOING WHATSOEVER ON HIS PART, NOR DID HE CONTRIBUTE IN ANY WAY TO THE SETTLEMENT PAYMENT, WHICH WAS PAID ENTIRELY BY LPL. MR. HOOKS WILL SEEK EXPUNGEMENT OF THIS BASELESS CLAIM FROM HIS OTHERWISE CLEAN INDUSTRY RECORD.
More Information
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