Daryl Richard Lemon (CRD #2473133, Los Angeles, California)
was barred by FINRA for allegedly executing 1,236 transactions in an elderly client’s discount brokerage account maintained at another broker-dealer without providing prior written notice, or any notice at all, to his member firm.
FINRA's findings stated that Lemon periodically charged the customer amounts that he characterized as advisory fees.
(FINRA Case #2013036632201)
FINRA has permanently barred this individual from acting as a broker or otherwise associating with firms that sell securities to the public.
Daryl Richard Lemon was registered in the securities industry for 15 years and was previously registered with the following securities firm(s):
10/2005 - 07/2013 SAGEPOINT FINANCIAL, INC. (CRD# 133763) - CULVER CITY, CA
09/2005 - 10/2005 SUNAMERICA SECURITIES, INC. (CRD# 20068) - PHOENIX, AZ
03/2002 - 10/2005 SYNERGY INVESTMENT GROUP, LLC (CRD# 46035) - CHARLOTTE, NC
05/1995 - 01/1999 PRUDENTIAL SECURITIES INCORPORATED (CRD# 7471) - NEW YORK, NY
This ends the information summarized from FINRA's February 2015 Disciplinary report.
Soreide Law Group represents clients nationwide in arbitrations before FINRA. For a free consultation on how to potentially recover your investment losses due to your broker/financial advisor's recommendations call: 888-760-6552.
Investors apparently complained about securities broker Devlin H. Dwyer. [CRD: 6634140, Atlanta, Georgia], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Dwyer worked for Patrick Capital Markets LLC from November 22, 2016, to March 9, 2026. See below to find out more about the disclosures involving this securities broker. Patrick Capital Investor […]
Investors have reportedly disputed the sales practices of securities broker Jennifer Lasser Eilers (also known as Jennifer Ann Costello and Jennifer Ann Lasser) [CRD: 2410129, Niles, Illinois], according to disclosures located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jennifer Eilers worked for BMO Harris Financial Advisors Inc. from February 19, 2021, to March 24, 2021, […]
Investors potentially experienced sales practice violations by securities broker Gabriel D. Candea (also known as Gabe Candea) [CRD: 5531840, Santee, California], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gabriel Candea worked for Emerson Equity LLC from January 14, 2022, to the present as a securities broker in Irvine, California, […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com