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
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.
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
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.
To view the full report for MARC CHARLES HARARY, click here.
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.
How to choose a broker or investment adviser. Learn More