ROBERT JOSEPH ROBERTS is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 527 W. MAIN STREET, RICHMOND, KY, 40475.
ROBERT JOSEPH ROBERTS has worked at LPL FINANCIAL LLC since September 08, 2009
Disclosure History
ROBERT JOSEPH ROBERTS has 1 Disclosure Event(s).
Date: September 30, 2015 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT HE WAS NOT MADE AWARE THAT HE WOULD INCUR A TAX LIABILITY WHEN HE SURRENDERED AN ANNUITY AND TRANSFERRED THOSE FUNDS TO MUTUAL FUNDS. Damage Amount Requested: $111,686.89 Broker Comment: THE CLIENT IS AN EXPERIENCED INVESTOR WHO HAS WORKED WITH ME FOR OVER 20 YEARS. PRIOR TO THAT TIME, HE HAD BEEN INVESTED IN MUTUAL FUNDS WITH THE AMERICAN FUNDS. THE PRODUCT CHANGE WAS EXPLAINED TO HIM AT THE TIME OF THE TRANSACTION, AND HE WAS FULLY AWARE OF THE SITUATION.
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