SUSAN TANNER CUMMINGS is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 4701 CONNECTICUT AVE NW #207, WASHINGTON, DC, 20008.
SUSAN TANNER CUMMINGS has worked at LPL FINANCIAL LLC since December 07, 2010
Disclosure History
SUSAN TANNER CUMMINGS has 1 Disclosure Event(s).
Date: March 12, 2013 Category: Financial Type: Bankruptcy Disposition: Discharged Broker Comment: BANKRUPTCY DECLARED BECAUSE MY FORMER FIRM, MERRILL LYNCH, WAS REQUESTING ARBITRATION FOR A PROMISSORY NOTE THAT I CLAIMED I DID NOT OWE DUE TO NEGLIGENCE. FINRA INFORMED ME THAT IF I DID NOT DECLARE BANKRUPTCY PRIOR TO THE ARBITRATION AND IF MERRILL LYNCH WON, MY LICENSE WOULD BE SUSPENDED . NOT KNOWING WHO WOULD WIN, I WAS FORCED TO DECLARE BANKRUPTCY SO I COULD CONTINUE MY PROFESSION.
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