SCOTT KEVIN JONES

SCOTT KEVIN JONES is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 15061 SPRINGDALE ST STE 104, HUNTINGTON BEACH, CA, 92649.

SCOTT KEVIN JONES has worked at LPL FINANCIAL LLC since January 28, 2010

Disclosure History

SCOTT KEVIN JONES has 2 Disclosure Event(s).

Date: February 13, 2012
Category: Customer Dispute
Allegations: CLIENT ALLEGES FORGERY REGARDING VARIABLE ANNUITY INVESTMENT. ACTIVITY DATES 2/11/04 TO 8/19/05.
Damage Amount Requested: $152,823.71

Date: December 11, 2006
Category: Customer Dispute
Allegations: CLIENT HAS FILED AN AFFIDAVIT OF FORGERY WITH THE HARTFORD IN WHICH HE HAS ACCUSED THE REGISTERED REPRESENTATIVE OF FORGERY.
Damage Amount Requested: $150,000.00
Broker Comment: INVESTMENT REVEALED THAT THE CUSTOMER'S ALLEGATIONS WERE WITHOUT MERIT. CHECK IN QUESTION WAS DEPOSITED IN CUSTOMERS WASHINGTON MUTUAL BANK ACCOUNT. FUNDS WERE SUBSEQUENTLY USED TO PURCHASE INVESTMENTS.

More Information

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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

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

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