LISA LYNNE DALE is currently employed as a Broker and/or Investment Adviser at WADDELL & REED located at 111 MAPLEWOOD AVE, SUITE C, PORTSMOUTH, NH, 03801.
LISA LYNNE DALE has worked at WADDELL & REED since March 11, 1986
Disclosure History
LISA LYNNE DALE has 1 Disclosure Event(s).
Date: May 26, 2006 Category: Customer Dispute Allegations: CLIENTS ALLEGE ADVISOR DID NOT ACT INA PROMPT MANNER TO REMOVE THE RESTRICTION FROM THE UNICA STOCK BEGINNING THAT THE CLIENTS WERE ATTEMPTING TO SELL IN LATE JANUARY OF 2006. THUS, RESULTED IN LOSS OF STOCK VALUE IN THE AMOUNT OF $23200.00. ALSO, CLIENTS CLAIM THAT THE ADVISOR HAS NOT FULFILLED HER CONSULTATION DUTIES AND REQUEST A REFUND OF THE $1400.00 FINANCIAL PLAN FEE PAID IN FEBRUARY OF 2006. Damage Amount Requested: $24,600.00 Settlement Amount: $1,300.00 Broker Comment: NO WRONGDOING FOUND ON THE PART OF OUR ADVISOR. FINANCIAL PLANNING FEE, IN THE AMOUNT OF $1300.00 WAS REIMBURSED TO CLIENTS.
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