MICHAEL HARVEY CARLEY is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 108 N UNDERSTORY LN, TUCSON, AZ, 85748-3737.
MICHAEL HARVEY CARLEY has worked at LPL FINANCIAL LLC since January 30, 2009
Disclosure History
MICHAEL HARVEY CARLEY has 1 Disclosure Event(s).
Date: April 10, 2003 Category: Customer Dispute Allegations: CLIENT, VIA ATTORNEY, ALLEGES UNSUITABILITY OF OTCBX, MSBLX, AND MIGBX PURCHASED IN MAY 2001. SHARES SOLD IN MAY 2003 FOR LOSSES OF APPROXIMATELY $8,358.00. Damage Amount Requested: $8,358.00 Broker Comment: CLIENT HAS WITHDRAWN HER COMPLAINT. MR. CARLEY WAS NOT THE FINANCIAL ADVISOR AT THE TIME THE ALLEGED VIOLATIONS OCCURRED.
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