NEAL ALAN BRITT

NEAL ALAN BRITT is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 3120 SOUTHWEST FRWY, SUITE 500, HOUSTON, TX, 77098.

NEAL ALAN BRITT has worked at LPL FINANCIAL LLC since August 26, 2005

Disclosure History

NEAL ALAN BRITT has 1 Disclosure Event(s).

Date: July 20, 2001
Category: Employment Separation After Allegations
Firm Name: OSHMAN'S
Termination Type: Permitted to Resign
Allegations: WHILE I WAS WORKING FOR OSHMAN'S I WAS PARTICIPATING IN A SALES PROMOTION WHERE I RECEIVED PRODUCT FROM THE DISTRIBUTORS I.E., PRINCE, WILSON SPORTS, ETC. MANAGEMENT HAD APPROVED THAT I COULD EXCHANGE PRODUCT THAT I DID NOT WANT FOR OTHER THINGS THAT THE STORE HAD.. AFTER A ROUTINE CHECK THERE WAS A QUESTION ABOUT A SET OF GOLF CLUBS THAT I HAD EXCHANGED OVER A YEAR AGO EVEN THOUGH ALL THE OTHER ONES CHECKED OUT OK. OSHMAN'S RELEASE ME FROM DUTY BUT THEY WERE NO CHARGES IN THE MATTER.
Broker Comment: I WAS PARTICIPATING IN A SALES PROMOTION AND RECEIVED A SET OF GOLF CLUBS AND GOT MANAGEMENT APPROVAL TO EXCHANGE THEM FOR SOMETHING ELSE, A YEAR LATER DURING A ROUTINE CHECK A QUESTION CAME UP ABOUT THE SET OF GOLD CLUBS. THE COMPNAY WITH THE PROMOTION DID NOT HAVE THE RECORDS ABOUT THEM AND I DID NOT HAVE THE INVOICE SO I WAS RELEASED FROM DUTY 7/20/01

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