LOWELL WAYNE HESSER is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 4243 LANCASTER GATE DR, PACE, FL, 32571-7360.
LOWELL WAYNE HESSER has worked at LPL FINANCIAL LLC since December 10, 2010
Disclosure History
LOWELL WAYNE HESSER has 1 Disclosure Event(s).
Date: November 22, 2011 Category: Customer Dispute Allegations: CLAIMANT ALLEGES FA MADE UNAUTHORIZED TRADES IN MAY 2008. CLAIMANT ALLEGES UNAUTHORIZED INVESTMENTS OF $140,000, BUT DOES NOT STATE ACTUAL DAMAGES AMOUNT. Settlement Amount: $20,000.00 Broker Comment: INITIAL VERBAL COMPLAINT TO ADVISOR FROM CLAIMANT OCCURRED APPROXIMATELY 6 MONTHS AFTER INVESTING IN MUTUAL FUNDS AND A MARKET DECREASE OF 37% (S&P). DECISION TO SETTLE WAS MADE SOLELY BY THE REPRESENTING FIRM, WITHOUT INPUT FROM THE ADVISOR, TO AVOID EXPENSE OF POSSIBLE FURTHER LITIGATION. SETTLEMENT AMOUNT PAID SOLELY BY THE REPRESENTING FIRM AND NOT THE ADVISOR. ADVISOR STRONGLY DENIES THE SPECIFIC CLAIM BROUGHT FORTH AND ALL OTHER ALLEGATIONS MADE BY CLAIMANT TO FINRA.
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