MICHAEL CURTIS MELLOWS

MICHAEL CURTIS MELLOWS is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 224 W MAIN ST, SUITE 509, LEWISTOWN, MT, 59457.

MICHAEL CURTIS MELLOWS has worked at LPL FINANCIAL LLC since August 01, 2003

Disclosure History

MICHAEL CURTIS MELLOWS has 1 Disclosure Event(s).

Date: March 08, 2002
Category: Customer Dispute
Allegations: THE CLIENT ALLEGED I DID NOT DISCLOSE THE SURRENDER CHARGE FEATURE ON THE ANNUITY CONTACT SHE PURCHASED.
Damage Amount Requested: $5,200.00
Broker Comment: THE FIRM FOUND I PROVIDED FULL AND FAIR DISCLOSURE OF THE FEATURES, BENEFITS, RISKS AND FEES OF THE ANNUITY CONTACT THE CLIENT PURCHASED.

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.

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