MICHAEL ANTHONY GONCALVES

MICHAEL ANTHONY GONCALVES is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 2100 POQUONOCK AVENUE, POQUONOCK, CT, 06095.

MICHAEL ANTHONY GONCALVES has worked at LPL FINANCIAL LLC since October 11, 2011

Disclosure History

MICHAEL ANTHONY GONCALVES has 2 Disclosure Event(s).

Date: January 14, 2010
Category: Customer Dispute
Allegations: ATTORNEY FOR TRUST ALLEGES THAT RR SALE TO CONFIRM THAT INDIVIDUALS HAD AUTHORITY TO ACT AS TRUSTEES FOR TRUST AND INAPPROPRIATELY INVESTED TRUST FUNDS INTO REIT RESULTING IN LACK OF DIVERSIFICATION AND ILLIQUIDITY.

Date: February 05, 2009
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES FAILURE TO FOLLOW INSTRUCTIONS TO LIQUIDATE MUTUAL FUNDS HELD IN THE ACCOUNT.
Damage Amount Requested: $14,500.00
Settlement Amount: $9,000.00
Broker Comment: FIRM PREVIOUSLY DENIED THE CLAIM BUT LATER SETTLED THE MATTER TO AVOID DEFENSE COSTS.

More Information

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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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