PEGGY ELLEN BORIS is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 7702 W MEQUON RD, MEQUON, WI, 53097.
PEGGY ELLEN BORIS has worked at LPL FINANCIAL LLC since December 10, 2010
Disclosure History
PEGGY ELLEN BORIS has 1 Disclosure Event(s).
Date: March 30, 2010 Category: Customer Dispute Allegations: CLIENTS ALLEGE THAT FINANCIAL ADVISOR SAID THERE WOULD BE LITTLE TO NO RISK TO INVESTING IN THE STOCK MARKET AND AT NO TIME DID THE ADVISOR RECOMMEND PULLING MONEY OUT OF THE STOCK MARKET. ALLEGES DAMAGES, NOT SPECIFIED, BELIEVED TO EXCEED $5,000. (05/07/2007-03/27/2010) Broker Comment: CLIENTS COMPLETED AN INVESTOR PROFILE QUESTIONNAIRE TO ASSESS RISK. I HAD CONVERSATIONS WITH CLIENTS THAT THERE IS RISK WHEN INVESTING IN THE MARKET.
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