LPL Financial

We have contacted the customer and addressed their concerns

October 27, [redacted] E [redacted] Drive [redacted] PA Re: Account ending in [redacted] Dear Ms [redacted] : Please accept this letter as LPL Financial LLC's ("LPL") response to concerns, which you have /> expressed regarding the above referenced account and LPL's servicingYour LPL financial representative is [redacted] with The Financial Advisory Group As I understand it, you requested that we liquidate stocks in your LPL IRA account and then have the monies rolled into an IRA account at Peoples BankYou state that after sixty days the transaction was still pendingYou further state that the paperwork was returned numerous times, for what you perceived to be minor reasons In response to your concerns, LPL reviewed your account history and spoke with Mr [redacted] concerning your account and the transfer requestAccuracy of paperwork is extremely important to LPL as this assures us that we are acting responsibly with regards to the servicing of accounts As of October 15, the account transfer was successfully completed due to new and accurate paperwork having been received from Peoples Bank As a gesture of goodwill, LPL paid the transfer and maintenance fees for your account transfer We trust this matter has been resolved to your satisfaction and wish you well with your financial futureIf you have any questions concerning this letter, please feel free to contact me at ext*** Sincerely, [redacted] Legal Support Associate Cc: [redacted] ***, The Financial Advisory Group [redacted] B***, Esq., LPL Financial

Dear [redacted] ***: Please find attached a copy of the final response sent to Mr [redacted] , in reference to Revdex.com ID: [redacted] , as requested by your office Should you require any additional information, then please do not hesitate to contact me Best regards, [redacted] LPL Financial LLC Legal Support Associate |Legal [redacted] Charlotte, NC Office: [redacted] Toll-free: [redacted] |Ext [redacted] Fax: [redacted] Email: [redacted]

Revdex.com: I have reviewed the response made by the business in reference to complaint ID [redacted] , and find that this resolution would be satisfactory to me I will wait for the business to perform this action and, if it does, will consider this complaint resolvedI have contacted [redacted] repeatedly and they are still not able to confirm receipt of funds to meI explained this to [redacted] at LPL I would consider this resolved if [redacted] provided me in writing evidence that they received these funds Regards, [redacted]

Hello,I understand we performed two services at your home in particular the master bedroom to control Bed BugsI called and emailed you on that we would be happy to come back and perform an additional service to the master bedroom room and the adjacent living room at no cost to youI informed you in the email that you would need to perform the same preparation as beforeBed Bugs can be very frustrating and sometimes take repeated services to controlYou were informed multiple times to Please be aware that you may need to treat your entire home to fully control the Bed BugsBed Bugs are very cryptic and can hide anywhere and travel distancesIt is always our recommendation to do the whole house but sometimes you can do a limited area and control the issueKeneth was informed about the recommendation to do the whole hose but was also informed that doing a limited area “MAY” or "MAY NOT" control the issueNo guarantee was given in writing or verbally because only a limited area was treatedIf we had treated the entire home and you had prepared the entire home properly we would have issued a limited written guaranteeI have attached a copy of the agreements you signedYou can clearly see it is for only the master bedroom and does not have a written guarantee expressedIn fact one of the agreements clearly states in all caps and bold print “ BED BUGS HAVE NO GUARANTEE”Regardless we have already done one free service to try and make you happy and are were willing to attempt one more in the limited area you chose to treat originally plus at no additional charge we will do the adjacent living roomPlease contact me directly if you have questions or want to schedule your free serviceWe appreciate your businessShawn K [redacted] [redacted] | Anteater Exterminating, Inc.| [redacted] Cell

We are working with the Complainant on the above referenced matter to resolve the outstanding paperwork requirements. We will provide an update upon completion. Please contact me directly... with any questions or requests for status updates. Respectfully, [redacted] LPL Financial LLC [redacted] Direct: [redacted] Toll Free: [redacted] ext: [redacted] Fax: [redacted] E-mail: [redacted]

Dear Ms***: LPL Financial LLC received Mr [redacted] ’s September 29, submission to the Revdex.com of San Diego and issued a response on October 5, According to our review, per Mr [redacted] ’s request, LPL transferred his [redacted] [redacted] , the clearing firm, confirmed receipt of the transfer A response with this explanation was mailed to Mr [redacted] on October 5, Best regards, [redacted] LPL Financial LLCAssistant Vice President | Associate Counsel Legal Department [redacted] Charlotte, NC Office: [redacted] Mobile: [redacted] Toll-free: [redacted] |Ext [redacted] Fax: [redacted] Email: [redacted]

Hello,In order to avoid confusion we do everything in writingThe reason we provide written records is so that after the fact the details of the transaction can not be distorted.We always inform all customers who have Bed Bug issues that our recommendation is to treat the entire houseA intensive has to be performed then or subsequent follow up services.Our service technician informed [redacted] who was relaying information to his wife sitting in another area that our recommendation was to treat the entire house.The [redacted] where not convinced this was necessary and only wanted to treat the area they where getting bitten in, the master bedroom only.They simply would would not listen and went against our professional advice.For this reason they where informed that there would be "No Guarantee".We provided the attached service agreements "That they signed" indicating that the master bedroom only was to be treated and that "Bed Bugs have no guarantee".We tried to go above and beyond by doing free additional servicesWhen I personally learned that Mrs [redacted] was not happy, had called to cancel services and was treating to file a complaint I immaterially tried to contact them on the phone and sent a follow up email.I received no reply.On the last reply to the going through the Revdex.com I once again offed additional free services and asked them to contact me.I received no reply.I have attached copies of the written engagements that the customer signedI have attached a copy of the email where I reached out to them trying to resolve the issue.Please contact me directly if you have questions[redacted] | [redacted] Anteater Exterminating, Inc.| [redacted] Cell

Revdex.com: I have reviewed the response made by the business in reference to complaint ID [redacted] , and have determined that this proposed action would not resolve my complaint For your reference, details of the offer I reviewed appear below.This response is typical of the confusion we have encountered in working with LPLOn two separate occasions, LPL's customer service reps confirmed they had received the forms my broker sent On the second occasion we were told that the forms were out of date and a new template needed to be usedThis came after we were provided the original template by LPL only a month prior It's clear at this point that their only interest is in dragging their feet to prevent customers from extracting their funds from their sinking ship We received the same treatment repeatedly with every attemptUnless they release my funds immediately, I am escalating this to the financial regulatory agency that oversees their license Regards, [redacted]

Revdex.com:
I have reviewed the response made by the business in reference to complaint ID ***, and have determined that this does not resolve my complaint. For your reference, details of the offer I reviewed appear below
[To assist us in bringing this matter to a close, we would like to know your view on the matter.]When I purchased the gutter screens system, the quarterly required service of cleaning the screens so the system will work was not mentionedI do not want someone coming to my home times/year for years The contract states screen clogs are guaranteed not to occurThis company continues to provide claims, guarantees and product that does not workI want my money back as the contract providesI will be glad to provide you a copy of the purchase agreement/contract
Regards,i
*** ***

Revdex.com:
I have reviewed the response made by
the business in reference to complaint ID ***, and have determined that this does not resolve my complaint. For your reference, details of the offer I reviewed appear below
I just witnessed significant rain bypass on all gutters around the house and garage.Cleaning the screens will not alleviate the failure of your product. Please honor your contract and refund the purchase price.All past efforts to remedy this installation have failedThere is no other acceptable solution.*** M***

Revdex.com:
I have reviewed the response made by the business in reference to complaint ID ***, and have determined that this proposed action would not resolve my complaint. For your reference, details of the offer I reviewed appear below.Problem:
On September 19, 2016, my broker sent to LPL the forms they requested to move my IRA to another broker and close my LPL accountSix weeks have now passed without any action or communication on LPL's partAccording to LPL's customer service reps, the forms have been received but are "still being processed." This is much longer then we expected to complete a simple transaction, and we need for it to be acted on immediatelyDesired Outcome:
Complete the transaction and transfer funds immediately
Regards,
*** ***

We have visited the customers home, provided a diagnosis and have agreed to perform prescribed repairs this coming Wednesday, 8/2/

There was a misunderstanding of the Leaffilter referral program by the customerLeaffilter has contacted the customer and rectified the misunderstanding and issued the $referral fee

[A default letter is provided here which indicates your acceptance of the business's
response. If you wish, you may update it before sending it.]
Revdex.com:
I have reviewed the response made by the business in reference to complaint ID ***, and find that this resolution is satisfactory to me.
Regards,
*** ***

As requested by the client, we are issuing a client accomodation credit for the fees and are closing our file on this matter. Please let me know if you need anything additional to close this matter with your organization.
*** ***
Associate Counsel - LPL
Financial ###-###-####
***

[A default letter is provided here which indicates your acceptance of the business's response. If you wish, you may update it before sending it.]
They have
determined it to be installation error & have agreed to replace the damaded property & reinspect & fix all other errors on the gutter system
Revdex.com:
I have reviewed the response made by the business in reference to complaint ID ***, and find that this resolution is satisfactory to me.
Regards,
*** ***

Hello, this is in response to the message sent from Anteater in regards to my business complaintWhen Anteaters service tech arrived at my residences (hours after our confirmed appointment time) I explained the issue I was having and showed him the problem areaAt that time he told me because of the size of the house it would be $5,to treat the entire houseThe Tech kept looking at all the rooms in the house and made the statement I did not have that big of a problem and treating the bedroom should be enough to treat the issueAnteater is correct in stating they did not give me any guarantee, however they are misleading in the fact that I would of done whatever the Tech suggested to treat the issueYes the Tech came and retreated the Master bedroom a total of times without any success of eliminating the problemMy issue with this company is that if they would of stated exactly what I needed to get done in order to fix the issue (Which I did have the entire house completed from another company) then that is what I would of doneAnteater Quoted me a in effective service plan which would have me keep coming back to them for additional service calls at $a callAt no time did the service Tech demonstrate anything but supreme confidence that the plan he advised me to go with was adequate and if I was to sign up for on going monthly service he make sure the issue was resolvedOn-going service was signed up for (but cancelled after the lack of results)I definitely would have paid the money the first time to have the issue completed correctly rather than have Anteater nickel and dime me each time for in effective treatments *** ***

We feel it is unfortunate the customer rejected our proposal for resolution.  The customer restated that clearing the screens will not alleviate the issue.  Unfortunately we do not agree with that assertion.  As per our previous conversations with the customer, he has agreed that the product does indeed operate as intended when they are unimpeded.  The customer has asked us to honor our contract and refund his purchase price.  Unfortunately there is nothing in the contract to reference for his request.  There are no terms to suggest this to be the intended remedy.  We did propose a remedy to accept responsibility as outlined in our previous response that the customer had agreed to verbally.  At this point it appears as if he has changed his mind.  The customer also states that all past efforts have failed.  That is not entirely accurate.  We have provided service upon request and as per our records the service has been acceptable to the customer.  While we acknowledge that we are not conceding to the customer's full request, we do believe that we are offering the customer a viable option to keep the customer from any gutter related maintenance at no additional expense.  For that reason we feel we are acting in a reasonable manner intended to improve the customer's situation.

Revdex.com:
I have reviewed the response made by the business in reference to complaint ID [redacted], and have determined that this proposed action would not resolve my complaint.  For your reference, details of the offer I reviewed appear below.Problem:
In April 2015 I transferred two of my LPL funds, under account 5621-9566, to my new broker. According to my statement from LPL, one of these funds contained 1085 shares of [redacted], for a value of about $20,000. Following the transfer, my broker and I contacted [redacted] (speaking with Joe at 720-897-4852) only to be told that they had no record of me or my account under my name or SSN. They suggested contacting [redacted], another broker they partner with in transfers. [redacted] had no record of me either. I spoke with [redacted] at LPL (direct contact number is [redacted] ext [redacted]) who said he would look into this. I have not heard back in the p[redacted] week and messages have not been returned. I am told that my LPL account rep was terminated for cause, so the disappearance of $20K from my account and a lack of response from LPL have led me and my current broker to assume the worst.
Desired Outcome:
Location and disbursement of my missing funds.
Regards,
[redacted]