Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Dalton (Dalton), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dalton recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on November 28, 2022.
Customer alleged failure to follow instructions in advisory account. (3/18/20-1/11/21)