NOEL RICHARDSON SHERRY is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 16255 JACARANDA WAY, LOS GATOS, CA, 95032-3628.
NOEL RICHARDSON SHERRY has worked at LPL FINANCIAL LLC since April 03, 2009
Disclosure History
NOEL RICHARDSON SHERRY has 2 Disclosure Event(s).
Date: September 02, 2009 Category: Customer Dispute Allegations: TIME FRAME: MARCH 20, 2000 TO JUNE 30, 2009 THE CLIENT'S COUNCIL ALLEGES THAT THE FINANCIAL ADVISOR PLACED HIS CLIENT IN UNSUITABLE SECURITIES, CHURNED HIS ACCOUNT AND MISLED HIS CLIENT CONCERNING VARIOUS MATERIAL ASPECTS OF HER INVESTMENTS AND ALLOCATIONS SELECTED AND CONSTRUCTED BY HIM AS WELL AS COMMISSIONS AND FEES DEDUCTED FROM HIS CLIENT'S ACCOUNT. Damage Amount Requested: $5,000.00 Settlement Amount: $170,000.00
Date: February 02, 2004 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT "AS A RESULT OF PAINEWEBBER'S NEGLIGENCE IN FAILING TO NOTIFY MS. FULLER THAT THE [IRA DISTRIBUTION] FORMS WERE NOT IN FACT DESIGNATED AS REPRESENTED BY PAINEWEBBER PERSONNEL, MS. FULLER WILL SUFFER ADVERSE TAX CONSEQUENCES THAT SHOULD HAVE BEEN AVOIDED ALTOGETHER HAD PAINEWEBBER GIVEN ACCURATE INFORMATION ON THE MULTIPLE OCCASIONS." TIME PERIOD: 2002. Damage Amount Requested: $15,000.00 Settlement Amount: $8,500.00
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