STEPHEN FORREST DRIEVER is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 103 N. BRIDGE ST., STE 255, Suite 255, CHIPPEWA FALLS, WI, 54729.
STEPHEN FORREST DRIEVER has worked at LPL FINANCIAL LLC since May 08, 2015
Disclosure History
STEPHEN FORREST DRIEVER has 2 Disclosure Event(s).
Date: August 01, 2008 Category: Customer Dispute Allegations: CLIENT ALLEGES THA TTHE WITHDRAWAL OF FUNDS WAS DONE SO WITHOUT THE WRITTEN CONSENT OF THE CLIENT. (FUNDS WERE MOVED FROM ONE VARIABLE ANNUITY TO ANOTHER). CLIENT FURTHER ALLEGES THAT THE PURCHASE OF THE JOHN HANCOCK ANNUITY WAS NOT IN TH ECLIENT'S BEST INTEREST. DAMAGES ESTIMATED TO BE IN EXCESS OF $5,000. Damage Amount Requested: $5,000.00
Date: March 14, 1997 Category: Customer Dispute Allegations: ALLEGES VIOLATION OF THE NASD RULES OF FAIRTRADE PRACTICE GOVERNING UNSUITABLE INVESTMENTS ANDMISSTATEMENTS AND OMISSIONS AND SEEK DAMAGES OF $31,645 PLUS 8%INTEREST AND COSTS FOR BRINGING THE ACTION. Damage Amount Requested: $31,645.00 Settlement Amount: $13,500.00 Broker Comment: THE CLAIMANTS WERE PAID $13,500.00 FOR RELEASEOF ALL CLAIMS. THE CLAIMANTS DISMISSED DRIEVER FROM ALL CLAIMS.[CUSTOMER], HAS SHARED WITH MY BRANCH MANAGERAND ME THAT IT WAS NEVER HIS INTENSION TO INVOLVE ME IN THISCOMPLAINT.
More Information
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