Daniel Soliman, formerly with JP Morgan Securities, Barred from Securities Industry

Have you lost money with financial advisor Daniel Soliman of New York, New York?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Daniel M. Soliman. FINRA barred Soliman from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Soliman regarding trading in customers’ accounts and whether such violated securities laws.

Daniel Soliman was a financial advisor and registered representative of JP Morgan Securities from September 2018 to June 2019.  He was also affiliated with Traderfield Securities from November 2016 to June 2018.  He worked at a branch office in New York, New York.

Brokerage firms like JP Morgan Securities have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado and Seattle, Washington.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in New York City. Our attorneys have represented over one thousand investors against many brokerage firms in the past.

Click to view:  Soliman, Daniel BrokerCheck

Click to view:  Soliman, Daniel FINRA AWC

If you lost money with Daniel Soliman or JP Morgan Securities, please CONTACT US at 720-599-3505 for a free evaluation of your case.