ROBERT REGIS FRANSKOUSKY

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

Disclosure History

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.

More Information

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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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