Edward Daniel, formerly with Wells Fargo, Barred from Securities Industry
Have you lost money with financial advisor Edward Daniel of Fort Worth, Texas? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Edward O. Daniel. FINRA barred Daniel from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating Daniel after he was alleged to have made unsuitable investment recommendations between 2011 to 2015 to a customer of his former firm, Wells Fargo.
Edward Daniel was a financial advisor and registered representative of Wells Fargo from January 2009 to September 2016. He worked at a branch office in Fort Worth, Texas. Daniel has also been the subject of eight customer complaints.
Brokerage firms like Wells Fargo 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 throughout Texas and the greater Dallas-Fort Worth area. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including Wells Fargo.
Click to view: Daniel, Edward FINRA AWC
Click to view: Daniel, Edward BrokerCheck 9.10.18
If you lost money with Edward Daniel or Wells Fargo, please CONTACT US at 720-599-3505 for a free evaluation of your case.