MARC CHARLES HARARY is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 122 East 42nd Street, Suite 1610, New York, NY, 10168.
MARC CHARLES HARARY has worked at LPL FINANCIAL LLC since May 05, 2016
Disclosure History
MARC CHARLES HARARY has 2 Disclosure Event(s).
Date: May 20, 2016 Category: Customer Dispute Allegations: CLAIMANT ALLEGED UNSUITABLE TRADING, FRAUD, MISREPRESENTATION, CONVERSION, NEGLIGENCE, BREACH OF FIDUCIARY DUTY, AND BREACH OF CONTRACT. ACTIVITY PERIOD IS 1/1/16 TO APRIL 27, 2016. Damage Amount Requested: $500,000.00 Settlement Amount: $5,000.00 Broker Comment: THESE CLAIMS WERE DISMISSED WITHIN A MONTH OF FILING. THE ADVISOR LATER AGREED TO A NUISANCE VALUE PAYMENT IN THE NOMINAL AMOUNT OF $5,000 IN AVOIDANCE OF DEFENSE COSTS AND IN ORDER TO END A FAMILY DISPUTE. THE ADVISOR DENIES ALL ALLEGATIONS ON THE MERITS.
Date: January 21, 2011 Category: Employment Separation After Allegations Firm Name: METLIFE SECURITIES Termination Type: Voluntary Resignation Allegations: SIGNATURE IRREGULARITIES WERE IDENTIFIED BY THE FIRM Broker Comment: My broker/dealer alleged signature irregularities on a client's life insurance policy delivery receipt and opened an internal review of my business. It was determined there was no evidence of any irregularity, and thereafter closed its internal review with no further action.
More Information
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