SHAWN MICHAEL HOCHULI is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 9550 WARNER AVE.STE 300, FOUNTAIN VALLEY, CA, 92807.
SHAWN MICHAEL HOCHULI has worked at LPL FINANCIAL LLC since March 11, 2005
Disclosure History
SHAWN MICHAEL HOCHULI has 1 Disclosure Event(s).
Date: July 07, 2011 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT REPRESENTATIVE DID NOT FOLLOW INSTRUCTIONS OR ADVISE HER ABOUT FEES/CHARGES ASSOCIATED WITH HER ACCOUNTS. CUSTOMER ALSO ALLEGES UNSUITABLE TRADING ACTIVITY, MISMANAGEMENT AND CHURNING IN HER ACCOUNTS, AND MAINTAINS THAT SIGNATURE ON ONE OF HER OPENING ACCOUNT DOCUMENTS IS NOT HERS. REPRESENTATIVE DENIES ALL ALLEGATIONS AND MAINTAINS THAT ALL INVESTMENTS WERE SUITABLE, APPROPRIATE AND AUTHORIZED. Damage Amount Requested: $150,000.00 Settlement Amount: $25,000.00 Broker Comment: THIS MATTER WAS RESOLVED AS AN ACCOMMODATION ONLY, WITH NO ADMISSION OF LIABILITY (WHICH WAS AND REMAINS DENIED), AND SOLEY AS A BUSINESS DECISION TO AVOID PROTRACTED LITIGATION.
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