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.
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Originally reported on November 17, 2022 @ 9:05 pm