THOMAS EDWARD WEINSHENKER

THOMAS EDWARD WEINSHENKER is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 10211 MONTGOMERY BLVD NE # 1, ALBUQUERQUE, NM, 87111-3608.

THOMAS EDWARD WEINSHENKER has worked at LPL FINANCIAL LLC since May 27, 2004

Disclosure History

THOMAS EDWARD WEINSHENKER has 1 Disclosure Event(s).

Date: June 01, 1996
Category: Customer Dispute
Allegations: TRUSTEES COMPLAINED THAT THE PRODUCT SOLD WAS 1) NOT APPROPRIATE AND 2) NOT SOLD WITH A PROSPECTUS
Damage Amount Requested: $23,000.00
Settlement Amount: $23,000.00
Broker Comment: IT HAS BEEN SETTLED 7/1/1998 23,000.00 SETTLEMENT WITH NO INDIVIDUAL CONTRIBUTION.

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.

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