RICHARD NELSON MOWER is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 999 EIGHTEENTH ST, SUITE 3000 S. TOWER, DENVER, CO, 80202.
RICHARD NELSON MOWER has worked at LPL FINANCIAL LLC since December 01, 2005
Disclosure History
RICHARD NELSON MOWER has 1 Disclosure Event(s).
Date: August 08, 2006 Category: Customer Dispute Allegations: COMPLAINT ALLEGED THAT EQUITIES PURCHASED IN HER ACCOUNT BETWEEN JULY 1999 AND JULY 2000 WERE UNSUITABLE BASED ON HER RISK TOLERANCE. NO DAMAGES WERE STATED. THE FIRM MADE A GOOD FAITH DETERMINATION THAT DAMAGES WERE NOT BELOW $5,000.
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