PHILIP ANTHONY MARCHETTI is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 1400 RT. 206, SUITE 100, BEDMINSTER, NJ, 07921.
PHILIP ANTHONY MARCHETTI has worked at LPL FINANCIAL LLC since August 16, 2016
Disclosure History
PHILIP ANTHONY MARCHETTI has 4 Disclosure Event(s).
Date: August 05, 2016 Category: Employment Separation After Allegations Firm Name: PNC Investments, LLC Termination Type: Discharged Allegations: Philip Marchetti was terminated for violation of firm policy. Specifically, Mr. Marchetti was found to be dishonest with his manager during an investigation into whether he had placed specific trades in a customer's account.
Date: March 24, 2010 Category: Customer Dispute Allegations: THE CUSTOMER ALLEGES FAILURE TO FOLLOW INSTRUCTIONS IN 2008. COMPENSATORY DAMAGES ARE NOT SPECIFIED.
Date: September 24, 2009 Category: Customer Dispute Allegations: CLAIMANTS ALLEGE MISREPRESENTATION AND UNSUITABLE INVESTMENTS IN EQUITIES FROM MAY 2005 THROUGH OCTOBER 2008. ALLEGED DAMAGES OF $20,000,000. Damage Amount Requested: $20,000,000.00 Settlement Amount: $375,000.00
Date: November 19, 2008 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT, IN APRIL OF 2003, THE FINANCIAL ADVISOR CHOSE INVESTMENTS THAT WERE INCONSISTENT WITH THE CUSTOMER'S RISK INTOLERANCE, CAUSING UNSPECIFIED DAMAGES.
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 PHILIP ANTHONY MARCHETTI, 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Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.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.