STEVEN JOHN MAYER is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 800 AVALON BLVD STE 100, ALPHARETTA, GA, 30009.
STEVEN JOHN MAYER has worked at LPL FINANCIAL LLC since December 01, 2010
Disclosure History
STEVEN JOHN MAYER has 1 Disclosure Event(s).
Date: March 03, 2008 Category: Customer Dispute Allegations: CLIENT ALLEGES AN UNSUITABLE RECOMMENDATION RELATING TO THE LIQUIDITY OF AN AUCTION RATE SECURITIES PURCHASE. DAMAGES WERE UNSPECIFIED. Settlement Amount: $125,000.00 Broker Comment: ON AUGUST 13 AND 14, 2008, JPMORGAN CHASE AGREED TO A SETTLEMENT IN PRINCIPLE WITH THE NEW YORK ATTORNEY GENERAL'S OFFICE, AND THE OFFICE OF FINANCIAL REGULATION FOR THE STATE OF FLORIDA AND THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION TASK FORCE, RESPECTIVELY, WHICH PROVIDED, AMONG OTHER THINGS, THAT THE FIRM WOULD BUY BACK AT PAR CERTAIN AUCTION RATE SECURITIES. AS PART OF THESE SETTLEMENTS, JP MORGAN SECURITIES, INC., PURCHASED BACK FROM CUSTOMERS ARS POSITION(S) AT PAR, IN ADDITION TO PAYING ACCRUED INTEREST ON THE PAR AMOUNT.
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