PERRY EUGENE SMITH

PERRY EUGENE SMITH is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 7335 S. LEWIS AVE., SUITE 306, TULSA, OK, 74136-6845.

PERRY EUGENE SMITH has worked at LPL FINANCIAL LLC since November 22, 1999

Disclosure History

PERRY EUGENE SMITH has 2 Disclosure Event(s).

Date: November 13, 1998
Category: Employment Separation After Allegations
Firm Name: BANK OF OKLAHOMA AND BOSC INC.
Termination Type: Voluntary Resignation
Allegations: BOSC ALLEGED MISAPPROPRIATION OF CONFIDENTIAL AND PROPRIETARY INFORMATION AND BREACH OF EMPLOYMENT CONTRACT.
Broker Comment: HAVING AGREED TO EMPLOYMENT WITH MERRILL LYNCH I PROVIDED MERRILL LYNCH WITH NOTHING MORE THAN MY CHRISTMAS CARD MAILING LIST TO NOTIFY CLIENTS OF MY MOVE. WE DID NOT SOLICIT CLIENTS BOSC RECEIEVED A TRO. MERRILL LYNCH SUCCEEDED IN HAVING TRO LIFTED AFTER 2 WEEKS. (I HAD RESIGNED 11/13/98) MERRILL LYNCH AND BOSC SETTLED OUT OF COURT.

Date: June 26, 1997
Category: Customer Dispute
Allegations: MISREPRESENTATION EXECUTION-FAILURE TOEXECUTE: ACCOUNT FAILURE TO SUPERVISE ACCOUNTRELATED-NEGLIGENCE. FAILURE TO PLACE ORDER $10,000 PLUS.
Damage Amount Requested: $202,668.00
Settlement Amount: $40,800.00
Broker Comment: MADIATION AGREED SETTLEMENT, $40,000. FOOTNOTE:BOSC, INC. HELD ME NON- LIABLE, PERSONALLY & PROFESSIONALLY FOR[CUSTOMER] COMPLAINT AS O.C.C. WOULD NOT ALLOW ME TO PLACE ORDER.NOT PROVIDED

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