TIMOTHY ROBERT MAHIEU is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 1438 Sheridan Ave., Suite 101, Cody, WY, 82414.
TIMOTHY ROBERT MAHIEU has worked at LPL FINANCIAL LLC since March 13, 2017
Disclosure History
TIMOTHY ROBERT MAHIEU has 1 Disclosure Event(s).
Date: October 07, 2002 Category: Customer Dispute Allegations: CLIENT ALLEGED MISREPRESENTATION REGARDING EXCHANGE OF VA IN FEBRUARY OF 2002 CAUSED LOSS OF $1258 IN FEES AND AN ADDITIONAL LOSS OF $9000 IN EMOTIONAL DISTRESS, MEDICAL EXPENSES AND LOSS OF WAGES DUE TO HUMAN RESOURCE CLAIMS WITH EMPLOYING BANK AND WORRY OVER HER RETIREMENT PLAN. Damage Amount Requested: $10,257.94 Settlement Amount: $9,000.00 Broker Comment: CLAIMANT ASSERTED EMOTIONAL DISTRESS AND OUT OF POCKET LOSS DUE TO HER ELECTION TO TERMINATE A 1035 EXCHANGE. CLIENT SOUGHT RECOVERY OF LOSSES, INCLUDING POTENTIAL GAINS IN THE MARKET AND STATE PREMIUM TAX. SETTLEMENT REACHED AS LESS THAN THE COST AND FEES THAT WOULD HAVE BEEN INCURRED IN DEFENDING THE MATTER. DISCLOSURE NO LONGER REPORTABLE - OVER 24 MONTHS AND DID NOT SETTLE FOR OVER $10K.
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