MEL O is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 8253 BRILLIANT POMPON PLACE, LAS VEGAS, NV, 89166.
MEL O has worked at LPL FINANCIAL LLC since December 17, 2015
Disclosure History
MEL O has 4 Disclosure Event(s).
Date: February 01, 2012 Category: Customer Dispute Allegations: CLAIMANTS ALLEGE THAT INACCURACIES ON THEIR ACCOUNT FORMS CAUSED PROBLEMS DURING THE ACCOUNT TRANSFER DURING 2011. CLAIMANTS SEEK DAMAGES OF $16,535.66. Damage Amount Requested: $16,535.66 Damages Granted: $8,267.83 Broker Comment: I SUBMITTED PAPERWORK DIRECTING ASSETS BE LIQUIDATED AND TRANSFERRED AS CASH PER CLIENTS' REQUEST. DESPITE THIS, THE DELIVERING FIRM DELIVERED ASSETS IN KIND. I NOTIFIED THE CLIENTS IMMEDIATELY OF THE ERROR AND ADVISED THE CLIENTS TO SELL THE POSITIONS. THE CLIENTS CHOSE TO HOLD THE POSITIONS. THE ACCOUNT WAS NON-DISCRETIONARY IN NATURE. THE POSITIONS WERE HELD INCURRING MORE LOSSES.
Date: March 31, 2011 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: February 01, 2010 Category: Financial Type: Compromise Disposition: Discharged
Date: February 01, 2010 Category: Financial Type: Compromise Disposition: Discharged
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