DANIEL ROBERT WALLACH is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 1330 BEACON ST STE 355, BROOKLINE, MA, 02446-3202.
DANIEL ROBERT WALLACH has worked at LPL FINANCIAL LLC since October 08, 2010
Disclosure History
DANIEL ROBERT WALLACH has 2 Disclosure Event(s).
Date: December 07, 2016 Category: Customer Dispute Allegations: Customer alleges failure to execute trades and reinvest dividends. Settlement Amount: $7,500.00 Broker Comment: LPL settled this matter solely as an accommodation and business decision to avoid potentially costly litigation without finding of liability whatsoever on the part of the financial advisor.
Date: January 13, 2011 Category: Customer Dispute Allegations: CLIENTS ALLEGED MUTUAL FUND RECOMMENDATIONS IN JUNE/JULY. 2010 WERE UNSUITABLE AND FEES WERE NOT DISCLOSED. Damage Amount Requested: $50,000.00
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