VICTOR JOSEPH ALFIERI is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 1055 LPL WAY, FORT MILL, SC, 29715.
VICTOR JOSEPH ALFIERI has worked at LPL FINANCIAL LLC since September 23, 2016
Disclosure History
VICTOR JOSEPH ALFIERI has 5 Disclosure Event(s).
Date: September 17, 2010 Category: Customer Dispute Allegations: CUSTOMER ALLEGES, INTER ALIA, THAT THEY DID NOT RECEIVE ADEQUATE DISCLOSURES IN CONNECTION WITH AUCTION RATE SECURITIES PURCHASED AFTER 2/13/08. Damage Amount Requested: $20,000.00 Settlement Amount: $20,000.00 Broker Comment: THIS MATTER INVOLVES THE SALE OF AUCTION RATE SECURITIES (ARS). THE SETTLEMENT AMOUNT IN ITEM 11 ABOVE REFLECTS THE PAR VALUE OF THE REPURCHASED ARS, IN ACCORDANCE WITH FINRA REGULATORY NOTICE 09-12.
Date: August 19, 2010 Category: Customer Dispute Allegations: CUSTOMER ALLEGES, INTER ALIA, THAT THEY DID NOT RECEIVE ADEQUATE DISCLOSURES IN CONNECTION WITH AUCTION RATE SECURITIES PURCHASED AFTER 2/13/08. Damage Amount Requested: $25,000.00 Settlement Amount: $25,000.00 Broker Comment: THIS MATTER INVOLVES THE SALE OF AUCTION RATE SECURITIES (ARS). THE SETTLEMENT AMOUNT IN ITEM 11 ABOVE REFLECTS THE PAR VALUE OF THE REPURCHASED ARS, IN ACCORDANCE WITH FINRA REGULATORY NOTICE 09-12.
Date: October 15, 2009 Category: Customer Dispute Allegations: CUSTOMER CLAIMS AUCTION RATE SECURITY PURCHASED ON JULY 8, 2008 WAS ALLEGEDLY MISREPRESENTED. Damage Amount Requested: $50,000.00 Settlement Amount: $50,000.00 Broker Comment: THIS MATTER INVOLVES THE SALE OF AUCTION RATE SECURITIES (ARS). THE SETTLEMENT AMOUNT IN ITEM 11 AVOVE REFLECTS THE PAR VALUE OF THE REPURCHASED ARS, IN ACCORDANCE WITH FINRA REGULATORY NOTICE 09-12.
Date: June 02, 2009 Category: Customer Dispute Allegations: CUSTOMER CLAIMS FINANCIAL ADVISOR MISREPRESENTEDLIQUIDITY OF AUCTION RATE SECURITIES PURCHASED INJULY 2008. Settlement Amount: $100,000.00 Broker Comment: THIS MATTER INVOLVES THE SALE OF AUCTION RATESECURITIES (ARS). THE SETTLEMENT AMOUNT IN ITEM 11ABOVE REFLECTS THE PAR VALUE OF THE REPURCHASEDARS, IN ACCORDANCE WITH FINRA REGULATORY NOTICE09-12.
Date: April 13, 2009 Category: Customer Dispute Allegations: THIS VERBAL COMPLAINT AROSE OUT OF THE SALE OF ANAUCTION RATE SECURITY (ARS) THAT WAS MADE PRIOR TOTHE UNPRECEDENTED ILLIQUIDITY IN THE ARS MARKETTHAT OCCURRED IN FEBRUARY 2008. Settlement Amount: $100,000.00 Broker Comment: THIS MATTER INVOLVES THE SALE OF AUCTION RATESECURITIES (ARS). THE TRANSACTION(S) AT ISSUE TOOKPLACE BEFORE MID-FEBRUARY 2008, WHEN THE ARSMARKET SUFFERED WIDESPREAD AUCTION FAILURES ANDILLIQUIDITY. THE FINANCIAL ADVISOR DID NOT CAUSE,CONTRIBUTE OR HAVE ANY CONTROL WHATSOEVER OVERTHESE MARKET EVENTS. THE FIRM REACHED AGREEMENTWITH CERTAIN OF ITS REGULATORS, PURSUANT TO WHICHIT REPURCHASED ARS FOR THEIR FULL PAR VALUE FROMCERTAIN CLIENTS, INCLUDING THE INSTANT CLIENT,WHERE THEY COMPLAINED OR NOT. THE FINANCIALADVISOR WAS NOT A PARTY TO THAT AGREEMENT, DIDNOT MAKE ANY PAYMENT TO THE CLIENT, AND WAS NOTASKED TO AND DID NOT CONTRIBUTE TO THEREPURCHASE AMOUNT. THE SETTLEMENT AMOUNT INITEM 11 ABOVE REFLECTS THE PAR VALUE OF THEREPURCHASED ARS, AS REQUIRED BY FINRAREGULATORY NOTICE 09-12.
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