TUAN RAY LEACH

TUAN RAY LEACH is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 140 RUE BEAUREGARD UNIT A, LAFAYETTE, LA, 70508.

TUAN RAY LEACH has worked at LPL FINANCIAL LLC since November 24, 2009

Disclosure History

TUAN RAY LEACH has 2 Disclosure Event(s).

Date: August 19, 2014
Category: Customer Dispute
Allegations: THE CUSTOMER ALLEGED THAT A VARIABLE ANNUITY WAS UNSUITABLE AND MISREPRESENTED BY THE REGISTERED REPRESENTATIVE. THE CUSTOMER SEEKS RETURN OF HER INVESTMENT IN THE ANNUITY.

Date: January 09, 2009
Category: Customer Dispute
Allegations: CLIENT ORALLY ALLEGES INSTRUCTIONS TO EXCHANGE FUNDS IN CLIENT'S VARIABLE ANNUITY WERE NOT FOLLOWED.
Damage Amount Requested: $13,114.71
Settlement Amount: $13,114.71

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.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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