TIMOTHY SCOTT SWICKARD is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 8577 RUFFIAN LANE, NEWBURGH, IN, 47630.
TIMOTHY SCOTT SWICKARD has worked at LPL FINANCIAL LLC since November 30, 2009
Disclosure History
TIMOTHY SCOTT SWICKARD has 2 Disclosure Event(s).
Date: July 19, 2012 Category: Customer Dispute Allegations: THE CUSTOMER ALLEGES UNSUITABLE INVESTMENT RECOMMENDATIONS AND FAILURE TO FOLLOW INSTRUCTIONS FROM APRIL 2005 TO DECEMBER 2008. Damage Amount Requested: $150,000.00
Date: November 09, 2009 Category: Customer Dispute Allegations: CLIENTS ALLEGES THAT THEY NEVER AUTHORIZED A SHORT SALE SEVEN MONTHS AGO IN APRIL 2009. Damage Amount Requested: $22,000.00 Settlement Amount: $22,960.00
More Information
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