DALE EDGAR GIEM

DALE EDGAR GIEM is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 230 E GLENDALE ST, DILLON, MT, 59725-2700.

DALE EDGAR GIEM has worked at LPL FINANCIAL LLC since January 28, 2016

Disclosure History

DALE EDGAR GIEM has 1 Disclosure Event(s).

Date: July 31, 2009
Category: Customer Dispute
Allegations: CLIENT ALLEGES THAT THE FINANCIAL CONSULTANT FAILED TO ENTER A SELL ORDER FOR CRYSTALLEX INTERNATIONAL CORP IN MAY OF 2007.
Damage Amount Requested: $20,000.00

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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