STACY BRYANT BUSH

STACY BRYANT BUSH is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 2918 N OAK ST, SUITE B, VALDOSTA, GA, 31602-4819.

STACY BRYANT BUSH has worked at LPL FINANCIAL LLC since November 05, 2004

Disclosure History

STACY BRYANT BUSH has 2 Disclosure Event(s).

Date: November 05, 2012
Category: Customer Dispute
Allegations: UNSUITABILITY; BREACH OF FIDUCIARY DUTY; MISREPRESENTATION; OMISSION OF FACTS; VIOLATION OF THE GEORGIA SECURITIES ACT; BREACH OF CONTRACT; RESTITUTION; NEGLIGENCE; AND COMMON LAW FRAUD.
Damage Amount Requested: $188,269.85
Broker Comment: DESPITE THE ARBITRATION PANEL'S DECISSION, I BELIEVED THAT I FULLY MET MY OBLIGATIONS TO THIS CLIENT AND THAT MY INVESTMENT ADVICE WAS APPROPRIATE GIVEN THE CLIENT'S INVESTMENT OBJECTIVES AND THE UNPRECEDENTED MARKET EVENTS OF 2008 AND 2009.

Date: April 14, 2009
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES THAT BOND HOLDING WAS UNSUITABLE AND A CONCENTRATED POSITION. FA DENIES ALL ALLEGATIONS. ACTIVITY PERIOD IS 3/20/08 THROUGH 4/30/09.
Damage Amount Requested: $5,000.00
Settlement Amount: $215,000.00 10-00336

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

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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