STEPHEN CARL RAUPP

STEPHEN CARL RAUPP is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 3400 WABASH AVE, SPRINGFIELD, IL, 62711.

STEPHEN CARL RAUPP has worked at LPL FINANCIAL LLC since November 30, 2010

Disclosure History

STEPHEN CARL RAUPP has 2 Disclosure Event(s).

Date: February 22, 2004
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES FA ENGAGED IN EXCESSIVE TRADING AND OMITTED CERTAIN INFORMATION WITH RESPECT TO COMMISSION AND FEES. CUSTOMER ALLEGES UNSPECIFIED DAMAGES.
Broker Comment: THE CLAIM IS DEEMED TO BE WITHOUT MERIT.

Date: April 15, 2003
Category: Customer Dispute
Allegations: THE CUSTOMER ALLEGES THE FA MADE UNSUITABLE INVESTMENTS.
Damage Amount Requested: $527,411.00
Broker Comment: CUSTOMER COMPLAINT FILED MORE THAN 24 MONTHS AGO AND DID NOT SETTLE FOR $10,000 OR MORE. PLEASE ARCHIVE RECORD.

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.

To view the full report for STEPHEN CARL RAUPP, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.