Daniel Levine, formerly with Morgan Stanley, Barred by FINRA

Have you lost money with financial advisor Daniel Levine of Greenwood Village, Colorado?  We are continuing to look into allegations made by FINRA, the Financial Industry Regulatory Authority, against Daniel Todd Levine. FINRA barred Levine from the securities industry after he failed to respond to a FINRA investigation.  FINRA was investigating Levine regarding allegations that he engaged in undisclosed outside business activities, solicited a senior customer to borrow funds, and executed unauthorized transactions.

Daniel Levine was a financial advisor and registered representative of Morgan Stanley from June 2013 to July 2018.  He worked at a branch office Greenwood Village, Colorado.  Levine was also allowed to resign by Morgan Stanley amidst its internal investigation of him.

Brokerage firms like Morgan Stanley 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; Ann Arbor, Michigan; and Seattle, Washington.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout Colorado.  Attorney Aaron Israels is licensed to practice law in Colorado.  Our attorneys have represented over one thousand investors against many brokerage firms in the past, including Morgan Stanley.

Click to view:  Levine, Daniel FINRA AWC

Click to view:  Levine, Daniel BrokerCheck 1.9.19

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

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.