RANDOL LEACH is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 44 AHEKOLO ST, KIHEI, HI, 96753.
RANDOL LEACH has worked at LPL FINANCIAL LLC since March 06, 2009
Disclosure History
RANDOL LEACH has 3 Disclosure Event(s).
Date: May 08, 2001 Category: Customer Dispute Allegations: CLIENT ALLEGED THAT THE RECOMMENDATION TO EXCHANGE FROM ONE ANNUITY TO ANOTHER THE SEVEN YEAR SURRENDER PENALTY PERIOD HAD PASSED ON THE INITIAL ANNUITY WAS NOT IN HER BEST INTEREST. (1999) ALLEGED DAMAGES UNSPECIFIED. Broker Comment: THE CLIENT'S CLAIM WAS DENIED.
Date: March 22, 2001 Category: Customer Dispute Allegations: THE CLIENTS ALLEGED THAT THE TRADES MADE IN THEIR ACCOUNTS WERE UNAUTHORIZED.8/31/00-12/18/00ALLEGED DAMAGES UNSPECIFIED. Broker Comment: THE CLIENT'S CLAIM WAS DENIED.
Date: October 20, 1998 Category: Customer Dispute Allegations: SALOMON SMITH BARNEY, CLIENTS ALLEGE THATTHEY DID NOT AUTHORIZE THE LIQUIDATION OF THEIR MUTUAL FUNDPOSITIONS AT THE DELIVERING BROKER/DEALER IN CONNECTION WITHTHE ACATS TRANSFER OF THEIR ACCOUNT AT SALOMON SMITH BARNEY.DAMAGES ARE UNSPECIFIED. Settlement Amount: $23,232.00
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 RANDOL LEACH, 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Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.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.