DANIEL MARK GOLDFARB

DANIEL MARK GOLDFARB is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 7000 FITZWATER ROAD, SUITE 300, CLEVELAND, OH, 44141.

DANIEL MARK GOLDFARB has worked at LPL FINANCIAL LLC since October 10, 2017

Disclosure History

DANIEL MARK GOLDFARB has 1 Disclosure Event(s).

Date: March 11, 2009
Category: Customer Dispute
Allegations: THE CLIENT ALLEGED THAT THE BENEFITS OF THE NEW VUL POLICY HE WAS SOLD IN SEPTEMBER 2008 WAS NOT WHAT HE WANTED AND NOT IN HIS BEST INTEREST.
Broker Comment: THE FIRM IS UNABLE TO DETERMINE A DAMAGE AMOUNT AT THIS TIME BUT BELIEVES IT TO BE IN EXCESS OF $5,000.00.

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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