RedFlag, Allegation and/or Complaint against DANIEL ROBERT HEPWORTH
Disclosure #1 for DANIEL HEPWORTH
- Event Date: 6/21/2011
- Disclosure Type: Regulatory
- Disclosure Resolution: Final
- Initiated By: FLORIDA OFFICE IF FINANCIAL REGULATION
- Allegations: N/A
- Resolution: Order
- Sanction Details :: Sanctions: Cease and Desist Sanctions: Civil and Administrative Penalty(ies)/Fine(s)
- Sanction Details :: Amount: $10,000.00
- Broker Comment: ERROR AT EMPLOYING FIRM CAUSED APPLICANT TO UNKNOWINGLY CONDUCT INVESTMENT ADVISORY BUSINESS IN FLORIDA WITHOUT ALL REQUIRED STATE REGISTRATIONS. EMPLOYING FIRM PAID THE FINE LEVIED AGAINST MR. HEPWORTH ON HIS BEHALF.
Should I file a FINRA complaint against brokers like DANIEL ROBERT HEPWORTH?
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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