Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Horowitz (Horowitz), currently associated with Wells Fargo Clearing Services, LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Horowitz recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $2,039,031.29 on March 11, 2024.
Customer complained that financial advisor did not disclose risks of investments and that recommendations were unsuitable. (10/2021)