ROBERT REGIS FRANSKOUSKY is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 574 PONTE VEDRA BLVD, PONTE VEDRA BEACH, FL, 32082.
ROBERT REGIS FRANSKOUSKY has worked at LPL FINANCIAL LLC since October 29, 2010
ROBERT REGIS FRANSKOUSKY has 3 Disclosure Event(s).
Date: April 16, 2015 Category: Financial Type: Bankruptcy Disposition: Discharged Broker Comment: FIRM RECEIVED NOTIFICATION FROM REPRESENTATIVE THAT BANKRUPTCY WAS DISCHARGED ON 08/10/2015. FIRM FAILED TO UPDATE u4 AT THAT TIME. BANKRUPTCY IS A RESULT OF AN UNFAVORABLE OUTCOME FROM ARBITRATION REGARDING A PROLONGED DISPUTE OVER AN EMPLOYMENT CONTRACT WITH FORMER EMPLOYER
Date: September 22, 2008 Category: Customer Dispute Allegations: CUSTOMER CLAIMS FINANCIAL ADVISOR ALLEGEDLY FAILED TO FOLLOW INSTRUCTIONS TO INVEST NO MORE THAN $50,000. NO SPECIFIC DATE PROVIDED. ALLEGED DAMAGES MAY EXCEED $5,000. Broker Comment: THE CUSTOMER WAS UPSET ABOUT A LOSS EXPERIENCED AS A RESULT OF A TRANSACTION. AFTER THE ADVISOR REMINDED THE CLIENT THAT THE TRADE WAS UNSOLICITED AND EXPRESSLY AUTHORIZED BY THE CLIENT, THE CUSTOMER EXPRESSED HIS SATISFACTION AND STATED THAT HE NEVER INTENDED TO MAKE A COMPLAINT.
Date: August 13, 2008 Category: Customer Dispute Allegations: CUSTOMERS ALLEGE THAT FINANCIAL ADVISOR REPRESENTED AUCTION RATE SECURITIES TO BE A LIQUID INVESTMENT. DAMAGES UNSPECIFIED. UNABLE TO CONCLUDE THAT DAMAGES ARE UNDER $5,000. Broker Comment: RECENT FAILED AUCTIONS HAVE LED TO AN INDUSTRY-WIDE PROBLEM AFFECTING ALL AUCTION RATE SECURITIES HOLDERS OVER WHICH THE FINANCIAL ADVISOR DID NOT HAVE CONTROL. THE CUSTOMER WITHDREW HIS COMPLAINT AGAINST THE FINANCIAL ADVISOR AND CLARIFIED THAT HE ASSERTS HIS CLAIM AGAINST THE FIRM ONLY.
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