RedFlag, Allegation and/or Complaint against DANIEL BARRY DUBIN
Disclosure #1 for DANIEL DUBIN
-
- Event Date: 11/19/2020
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Denied
- Disclosure Detail :: Allegations: Investment banking client that engaged firm as placement agent, alleges conflict of interest in connection with a potential SPAC transaction, from August 16, 2020 through September 21, 2020.
- Damage Amount Requested: $5,000.00
- Arbitration Docket Number:
- Broker Comment: I deny the allegations. I understand that my company has informed the client that its factual assertions and legal claims are meritless and that SVBL and I acted entirely appropriately. I agree with that statement.
Should I file a FINRA complaint against brokers like DANIEL BARRY DUBIN?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
Frequently Asked Questions About DANIEL BARRY DUBIN
What is DANIEL DUBIN's Central Registration Depository (CRD) Number?
Which firm is DANIEL BARRY DUBIN associated with?
Where is DANIEL DUBIN located?
Where can I find more details about DANIEL DUBIN's Investment Firm?
Are there any disclosures, allegations or complaints filed against DANIEL BARRY DUBIN?
Where can I download a detailed FINRA report for DANIEL DUBIN?
Is it safe to do business with DANIEL BARRY DUBIN?
All information displayed on this page is publicly available information under SEC guidelines, in compliance with 5 U.S.C. § 552 (Freedom of Information Act) and 5 U.S.C. § 552a (the Privacy Act) and is published unmodified, as provided by FINRA. BrokerAudit.com does not modify the data and makes no claims regarding its accuracy, nor will entertain any request to remove any entry. The inclusion of a person or entity in the BrokerAudit Database is not intended to suggest or imply that they have engaged in illegal or improper conduct related to FINRA. BrokerAudit.com intends to offer a platform where suspicious activities can be shared and discussed in a secure environment.
Originally reported on November 17, 2022 @ 9:05 pm
