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
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for PERRY EUGENE SMITH, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.