MARK STEVEN MCNEELY

MARK STEVEN MCNEELY is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 1900 North 18th Street, Suite 804, Monroe, LA, 71201.

MARK STEVEN MCNEELY has worked at LPL FINANCIAL LLC since June 15, 2016

Disclosure History

MARK STEVEN MCNEELY has 2 Disclosure Event(s).

Date: November 15, 2012
Category: Customer Dispute
Allegations: CLIENT ALLEGES MISREPRESENTATION REGARDING VARIABLE ANNUITY INVESTMENT. ACTIVITY DATES 10/19/2006-10/19/2006.
Damage Amount Requested: $9,000.00

Date: June 06, 2008
Category: Customer Dispute
Allegations: CLIENT ALLEGES FORGERY AND MISAPPROPRIATION OF FUNDS FROM AN IRA ACCOUNT.
Damage Amount Requested: $3,308.82
Broker Comment: THERE WAS NO FORGERY OR UNAUTHORIZED TRANSACTIONS IN MY DEALINGS WITH [CUSTOMER] WHILE I WAS EMPLOYED WITH CHASE INVESTMENT SERVICES OR MORGAN KEEGAN & COMPANY, INC? SIMPLY STATED, I MOVED HER ACCOUNTS FROM EDWARD JONES INVESTMENTS TO CHASE INVESTMENT SERVICES WHEN WE GOT MARRIED. SEVERAL MONTHS LATER WE DECIDED TO TAKE A DISTRIBUTION FROM [CUSTOMER'S] ROTH IRA TO PAY FOR HONEYMOON EXPENSES. SHE SIGNED AN IRA DISTRIBUTION FORM, A CHECK WAS ISSUED IN HER NAME, AND SHE ASKED ME TO DEPOSIT THE CHECK INTO OUR JOINT ACCOUNT. THE TELLER WROTE FOR DEPOSIT ONLY ON THE BACK OF THE CHECK AND DEPOSITED INTO OUR JOINT ACCOUNT. WHEN IT CAME TO MY ATTENTION THAT [CUSTOMER] WAS TRYING TO MAKE ISSUE OF THE DISTRIBUTION, I DEPOSITED THAT MONEY BACK INTO A ROTH IRA THAT [CUSTOMER] OPENED MORE THAN A YEAR AGO AT THE DIRECTION OF MY ATTORNEY. I HAVE NEVER SIGNED NOR CAUSED ANYONE ELSE TO SIGN [CUSTOMER'S] NAME TO ANY DOCUMENT WHATSOEVER SINCE WE HAVE KNOWN EACH OTHER, NOR HAVE I OPENED ANY UNAUTHORIZED ACCOUNTS OR MADE ANY UNAUTHORIZED TRANSACTIONS IN [CUSTOMER'S] EXISTING ACCOUNTS.***AS OF 6/6/2010 THIS ITEM IS NO LONGER REPORTABLE.***

More Information

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