PATRICK GLENN BENNETT is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 59 N SANTA CRUZ AVE, SUITE V, LOS GATOS, CA, 95030.
PATRICK GLENN BENNETT has worked at LPL FINANCIAL LLC since October 31, 2014
Disclosure History
PATRICK GLENN BENNETT has 5 Disclosure Event(s).
Date: February 24, 2009 Category: Customer Dispute Allegations: CUSTOMER VERBALLY ALLEGED THAT HE WANTED TO PURCHASE CORPORATE BONDS BUT THAT IN JANUARY 2009 THE FINANCIAL ADVISOR PURCHASED PREFERRED EQUITIES INSTEAD. COMPENSATORY DAMAGES UNSPECIFIED. Settlement Amount: $30,000.00 Broker Comment: SETTLEMENT OF VERBAL COMPLAINT.
Date: November 17, 2008 Category: Customer Dispute Allegations: CUSTOMER CLAIMS THE PURCHASE OF A UNIT INVESTMENT TRUST IN NOVEMBER 2008 WAS MADE WITHOUT FULL DISCLOSURE AND AN EXPLANATION OF COSTS. COMPENSATORY DAMAGES UNSPECIFIED.
Date: May 27, 2008 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT THE FINANCIAL ADVISOR DID NOT DISCLOSE THE CONTINGENT DEFERRED SALES CHARGE FOR LIQUIDATING A PORTION OF HIS PUTNAM MUTUAL FUND CLASS A POSITION IN MAY 2008. COMPENSATORY DAMAGES SPECIFIED AS $6,000. Damage Amount Requested: $6,000.00 Settlement Amount: $6,107.00
Date: May 17, 2004 Category: Customer Dispute Allegations: CLIENT ALLEGED HE WAS "UNAWARE HE WOULD EVER AGREE TO PARTICIPATE IN THE IPO OF A SMALL REIT" - 02/24/2004.DAMAGES UNSPECIFIED. Broker Comment: CLAIM DENIED.
Date: December 23, 1991 Category: Criminal Charges: THE ACCUSATION WAS THE TAKING OF A PHOTO FROMA RESTURANT (APPROX. VALUE OF $25) NO OTHER ALLEGED DAMAGES ORCLAIMS. Disposition: I ENTERED A PLEA OF `NO CONTEST` TO AMISDEMEANOR CHARGE PAYED A SMALL FINE, NO FURTHER PENALTYSUSPENSION OR RESTRICTION. Broker Comment: I WAS ACCUSED BY A RESTURANT EMPLOYEE (WHO LATERCALLED THE POLICE) OF TAKING A FRAMED PHOTO FROM THE PREMESIS.I WAS ONLY SHOWING THE PICTURE TO A MEMBER OF MY PARTY,BEINGTHAT IT WAS ALREADY TORN FROM THE WALL LAYING ON THE GROUND
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