Soreide Law Group, (888) 760-6552, obtained the following summation from FINRA’s website, listed under “Disciplinary and Other FINRA Actions, May, 2014.”
Daniel Howard Glick (CRD #2175655, Chicago, Illinois)
was barred by FINRA because allegedly during FINRA’s investigation, FINRA had requested documents and information concerning findings by the Certified Financial Planner Board of Standards. This was in reference to allegedly Glick forging clients’ signatures on letters to a bank. These letters were in order to gain access to, and misappropriate Glick’s clients’ assets.
FINRA’s findings stated that Glick told FINRA he would not provide the requested documents and information.
(FINRA Case #2014040173501)
Daniel Howard Glick was previously registered with the following FINRA firm(s):
TRANSAMERICA FINANCIAL ADVISORS, INC (CRD# 16164) – ORLAND PARK, IL
01/2012 – 03/2014
WORLD GROUP SECURITIES, INC. (CRD# 114473) – WHEATON, IL
10/2007 – 01/2012
WORLD EQUITY GROUP, INC. (CRD# 29087) – ORLAND PARK, IL
05/2002 – 07/2007
WORLD GROUP SECURITIES, INC. (CRD# 114473) – DULUTH, GA
04/2002 – 05/2002
WMA SECURITIES, INC. (CRD# 32625) – DULUTH, GA
06/1996 – 04/2002
LONG GROVE TRADING CO. (CRD# 10078) – BOSTON, MA
05/1992 – 07/1996
TERRA SECURITIES CORPORATION (CRD# 10358) – SCHAUMBURG, IL
09/1991 – 05/1992
This summation of information available on FINRA’s website ends here.
Soreide Law Group represents clients nationwide before FINRA. If you have experienced financial losses through your broker or financial advisor’s recommendations, please call a Securities Arbitration Lawyer for a free consultation on how to potentially recover those losses: 888-760-6552.CONTACT US