RICHARD EGILS OZOLS is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 13951 N. OLD FOREST TRAIL, ORO VALLEY, AZ, 85755-5787.
RICHARD EGILS OZOLS has worked at LPL FINANCIAL LLC since November 07, 1991
Disclosure History
RICHARD EGILS OZOLS has 1 Disclosure Event(s).
Date: March 15, 2017 Category: Customer Dispute Allegations: CUSTOMER ALLEGES BREACH OF FIDUCIARY DUTY, NEGLIGENCE AND BREACH OF CONTRACT BETWEEN SEPTEMBER 2011 AND OCTOBER 2013 WITH REGARD TO MUTUAL FUND INVESTMENTS AT LPL, AND WITH REGARD TO INVESTMENTS MADE THEREAFTER WITH DIFFERENT FINANCIAL ADVISORS AT A SUBSEQUENT BROKER-DEALER. Damage Amount Requested: $324,853.00
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