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
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