MICHAEL PATRICK DAFFINRUD

MICHAEL PATRICK DAFFINRUD is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 2900 N. WASHINGTON ST., BISMARCK, ND, 58503.

MICHAEL PATRICK DAFFINRUD has worked at LPL FINANCIAL LLC since September 23, 2014

Disclosure History

MICHAEL PATRICK DAFFINRUD has 1 Disclosure Event(s).

Date: August 21, 1990
Category: Customer Dispute
Allegations: UNSUITABLE/UNAUTHORIZED TRADING; SOUGHT$76,000.00 IN DAMAGES
Damage Amount Requested: $76,000.00 Damages Granted: $42,000.00
Broker Comment: CLAIMANT AWARDED $42,000.00 SHEARSON PAID TOTAL SETTLEMENTNot Provided

More Information

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 MICHAEL PATRICK DAFFINRUD, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.