DANIEL BARRY DUBIN at SVB SECURITIES LLC – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 3231063
DANIEL BARRY DUBIN is an Investment Adviser, associated with SVB SECURITIES LLC located at BOSTON, MA. DANIEL DUBIN’s Central Registration Depository (CRD) number is 3231063 and the FINRA Profile can be found at – https://brokercheck.finra.org/individual/summary/5134112.

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.
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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.

Update - 2022.11.15If you have suffered investment losses that may have been caused by DANIEL BARRY DUBIN’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!

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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?

53 STATE STREET, 40th Floor, BOSTON, MA, 2109

Where can I find more details about DANIEL DUBIN's Investment Firm?

Visit https://brokercheck.finra.org/firm/summary/39011 to read a detailed report for SVB SECURITIES LLC

Are there any disclosures, allegations or complaints filed against DANIEL BARRY DUBIN?

Yes. There are disclosures, allegations, or complaints filed against DANIEL BARRY DUBIN. Click here to view all details

Where can I download a detailed FINRA report for DANIEL DUBIN?

Click here to download a detailed FINRA report for DANIEL DUBIN

Is it safe to do business with DANIEL BARRY DUBIN?

We’re not sure. Please research DANIEL DUBIN’s disclosures, allegations and complaints before taking a decision

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

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