WILLIAM JOHN MCGONIGLE is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 50 JACKSON AVENUE, SYOSSET, NY, 11791.
WILLIAM JOHN MCGONIGLE has worked at LPL FINANCIAL LLC since April 24, 2018
WILLIAM JOHN MCGONIGLE has 3 Disclosure Event(s).
Date: September 09, 2014 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: May 22, 2008 Category: Customer Dispute Allegations: CUSTOMER CLAIMS INVESTMENT WAS DONE WITHOUT THEIR AUTHORITY. THIS CUSTOMER COMPLAINT INVOLVES ONE OR MORE AUCTION RATE SECURITIES WITH A NOTIONAL VALUE OF $100,000 WHICH HAS BEEN THE SUBJECT OF A FAILED AUCTION. Settlement Amount: $100,000.00 Broker Comment: ON 5/31/08, HSBC SECURITIES (USA) INC. AGREED TO VOLUNTARILY REPURCHASE THE ARS SECURITIES AT ISSUE FROM THE CUSTOMER AT PAR VALUE IN ORDER TO PROVIDE LIQUIDITY UNDER UNPRECEDENTED MARKET DEVELOPMENTS TO THE EXTENT THAT A CUSTOMER'S ARS POSITION(S) COULD NOT BE SOLD AND WAS NOT REDEEMED BY THE ISSUER. THE NAMED REPRESENTATIVE WAS NOT A PARTY TO, AND DID NOT AGREE TO OR PARTICIPATE IN, THE REPURCHASE AGREEMENT BETWEEN THE FIRM AND THE CUSTOMER; THE NAMED REPRESENTATIVE DID NOT MAKE ANY PAYMENTS TO THE CUSTOMER; AND THE NAMED REPRESENTATIVE WAS NOT ASKED TO AND DID NOT CONTRIBUTE TO THE REPURCHASE AMOUNT. THIS MATTER IS BEING REPORTED AS A SETTLEMENT PURSUANT TO THE REQUIREMENTS OF FINRA REGULATORY NOTICE 09-12.
Date: November 14, 2007 Category: Customer Dispute Allegations: CUSTOMER ALLEGES HIS ACCOUNT WAS NOT HANDLED APPROPRIATLEY BY THE REGISTERED REPRESENTATIVE. Damage Amount Requested: $22,000.00
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