RODNEY L DUNN is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 4033 KEITH ST NW, CLEVELAND, TN, 37312.
RODNEY L DUNN has worked at LPL FINANCIAL LLC since January 29, 2013
Disclosure History
RODNEY L DUNN has 2 Disclosure Event(s).
Date: March 08, 2013 Category: Customer Dispute Allegations: CLIENT ALLEGES THE FINANCIAL ADVISOR DID NOT FOLLOW HIS INSTRUCTIONS RELATED TO A PROTECTIVE FIXED ANNUITY THAT WAS SURRENDERED IN MARCH 2012. THE CLIENT CLAIMS THE TRANSACTION RESULTED IN HIM INCURRING A LARGE TAX LIABILTY. Damage Amount Requested: $28,000.00 Settlement Amount: $9,000.00 Broker Comment: AFTER COMPLETION OF THE FIRM'S INVESTIGATION, THE CLIENT'S CLAIM WAS RESOLVED IN THE AMOUNT OF $9,000.
Date: March 11, 2012 Category: Financial Type: Compromise Disposition: Satisfied/Released
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