RODNEY L DUNN

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

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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