TYLER WESTERVELT POTTS is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 433 SOUTH MAIN STREET, SUITE 322, WEST HARTFORD, CT, 06110.
TYLER WESTERVELT POTTS has worked at LPL FINANCIAL LLC since July 10, 2013
Disclosure History
TYLER WESTERVELT POTTS has 1 Disclosure Event(s).
Date: January 12, 2009 Category: Customer Dispute Allegations: [CUSTOMER] BECAME A CLIENT OF ESSEX FINANCIAL SERVICES, INC. IN OCTOBER 2007. [CUSTOMER] CLAIMED THAT THE ASSET ALLOCATION FOR HER ACCOUNTS WERE UNSUITABLE GIVEN HER RISK PROFILE. [CUSTOMER] ENDED HER RELATIONSHIP WITH ESSEX FINANCIAL SERVICES IN NOVEMBER 2008. Damage Amount Requested: $700,000.00 Settlement Amount: $375,000.00 Broker Comment: FIRM FELT THAT ASSET ALLOCATION WAS APPROPRIATE GIVEN CLIENT'S TIME HORIZON AND INCOME NEEDS. FOR BUSINESS AND ECONOMIC REASONS, OFFER OF MEDIATION WAS ACCEPTED AND CASE SETTLED.
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