RICHARD WAYNE HARVEY is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 2020 NEW GARDEN ROAD, SUITE A, GREENSBORO, NC, 27410.
RICHARD WAYNE HARVEY has worked at LPL FINANCIAL LLC since May 09, 2007
Disclosure History
RICHARD WAYNE HARVEY has 2 Disclosure Event(s).
Date: August 08, 2008 Category: Customer Dispute Allegations: ALLEGES MISREPRESENTATION AND UNSUITABILITY IN CONNECTION WITH PURCHASE OF TWO VARIABLE ANNUITIES IN JUNE 2007. SEEKS THE RETURN OF HER PREMIUM DEPOSITS. DAMAGES NOT SPECIFIED BUT REASONABLY BELIEVED TO BE IN EXCESS OF $5,000. Damage Amount Requested: $5,000.00
Date: May 10, 1990 Category: Criminal Charges: 1. WITHHOLD CREDIT CARD - 2 COUNTS2. FELONY/DISMISSED3. MISDEMEANOR - CREDIT CARD FRAUD4. N/A Charge Type: FELONY Disposition: A. CONVICTED B. 10/03/1990C. 6550 RESTITUTION WITHIN 90 DAYS MISDEMEANOR Broker Comment: ON 06/06/1989, I WAS 22 YEARS OF AGE AND ALONG WITH A GROUP OF FRIENDS, WE USED A CREDIT CARDWITHOUT PERMISSION. THERE WERE NO FURTHER INCIDENTS.
More Information
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