STEPHEN MICHAEL ANGELIS

STEPHEN MICHAEL ANGELIS is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 3455 MILL RUN DRIVE, STE 105, HILLIARD, OH, 43206.

STEPHEN MICHAEL ANGELIS has worked at LPL FINANCIAL LLC since October 27, 2016

Disclosure History

STEPHEN MICHAEL ANGELIS has 1 Disclosure Event(s).

Date: April 05, 1994
Category: Customer Dispute
Allegations: CLAIMANT ALLEGED ANGELIS MISREPRESENTED CONNER PERIPHERALS STOCK CAUSING CLAIMANT TO PURCHASE 150 SHARES OF THE STOCK ON 1/27/1991. CLAIMANT EXPRESSED CONCERN WHEN THE STOCK PRICE DROPPED BUT WAS ADVISED TO HOLD THE STOCK. CLAIMANT SOLD THE STOCK AT A LOSS APPROXIMATELY ONE YEAR LATER.
Damage Amount Requested: $6,409.97 Damages Granted: $4,352.12
Broker Comment: PENDINGMY CLIENT GAVE ME A LIST OF STOCKS AND ASKED MYOPINION. I GAVE HIM DETAILS PROVIDED BY VALUE LINE ON EACHSTOCK. HE CHOSE CONNER PERIPHERALS AND PURCHASED 150 SHARESUNSOLICITED. THE STOCK WENT UP IN VALUE, THEN DOWN. ON SEVERALOCCASIONS I CALLED HIM, GAVE HIM AN UPDATE, SUGGESTED AVERAGINGDOWN. HE DIDN'T AVERAGE DOWN, AND TOLD ME NOT TO CALL HIMANYMORE. WHEN THE STOCK HIT BOTTOM THEN DOUBLED, HE WAS UPSETTHAT I NEVER CALLED HIM TO BUY MORE BEFORE IT DOUBLED.

More Information

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