MICHAEL WILLIAM COFFEY is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 2153 GALLOWAY RD, BENSALEM, PA, 19020.
MICHAEL WILLIAM COFFEY has worked at LPL FINANCIAL LLC since May 31, 2013
MICHAEL WILLIAM COFFEY has 2 Disclosure Event(s).
Date: December 31, 2002 Category: Customer Dispute Allegations: PENNSYLVANIA CLIENT CLAIMS IN WRITING THAT THE $54,000 MUNICIPAL BOND FUND INVESTMENT PURCHASED AUGUST 1, 2002 WAS UNSUITABLE FOR HIS STATED INVESTMENT OBJECTIVES. Damage Amount Requested: $6,000.00 Settlement Amount: $500.00 Broker Comment: WACHOVIA SECURITIES SETTLED IN THE INTEREST OF CLIENT RELATIONS AND TO AVOID COSTLY AND TIME CONSUMING FORMAL PROCEEDINGS, WITHOUT ADMITTING LIABILITY, IN THE AMOUNT OF $500.
Date: November 21, 2002 Category: Customer Dispute Allegations: PENNSYLVANIA RESIDENT REQUESTS INFORMATION BASED ON LETTER FROM CLIENT'S PASTOR IN WHICH HE INQUIRIES ABOUT SERIES E BONDS THAT WERE REDEEMED AND PROCEEDS GIVEN TO FAS AND ALSO REGARDING CLIENT'S WILL WHICH WAS RE-WRITTEN TO NAME FAS AS HEIRS. Damage Amount Requested: $9,879.00 Broker Comment: FIRM RECEIVED ORAL COMPLAINT ALLEGING VARIOUS IMPROPRIETIES. INTERNAL REVIEW CONCLUDED A VIOLATION OF CORPARTE GIFT POLICY HAD TAKEN PLACE, ALTHOUGH GIFT WAS NOT SOLICITED BY REGISTERED REPRESENTATIVE. NO SALES PRACTICE VIOLATIONS WERE FOUND. GIFT WAS RESCINDID
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