Daniel Glick and TransAmerica Financial Advisors
Have you lost money with financial advisor Daniel Glick from Orland Park, Illinois? We are currently investigating claims made by FINRA, the Financial Industry Regulatory Authority. Daniel H. Glick was barred by FINRA for failing to respond to an investigation. FINRA was investigating Glick over allegations that he forged client signatures to steal and misappropriate their funds. This was also the subject of an investigation by the Certified Financial Planner (CFP) Board, who barred Glick from using the CFP designation. Glick was also barred by the Indiana Securities Division from the securities industry for the same conduct.
In March 2017, the SEC obtained an asset freeze against Daniel Glick, claiming that the scammed investors out of millions. An article in International Adviser magazine discussed the recent SEC claims against Glick.
Daniel Glick was a financial advisor and registered representative of TransAmerica Financial Advisors from January 2012 to March 2014. He worked at a branch office of TransAmerica in Orland Park, Illinois. Glick was terminated from TransAmerica for this conduct.
Brokerage firms like TransAmerica Financial Advisors 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.
Our attorneys have represented hundreds of investors who have been defrauded by their financial advisor or stockbroker. While we have offices in Denver and the Seattle area, both of our attorneys are licensed to practice law in Illinois, and we have previously represented dozens of investors in Illinois and throughout the Chicago area.
Click to view: Glick, Daniel SEC Complaint
Click to view: Glick FINRA AWC
Click to view: Glick BrokerCheck 1.19.15
If you have lost money with Daniel H. Glick or TransAmerica Financial Advisors and want to hear about ALL legal options, please visit https://www.israelsneuman.com or call us at (720) 599-3505.
Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.