Investors potentially incurred losses because of securities broker Dale Leary Self [CRD: 2782162, Indianapolis, Indiana], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Dale Self worked for J.P. Morgan Securities LLC from October 1, 2012, to January 8, 2023. Continue reading for details about Dale Self’s disclosures and the nature of the client complaints involving his conduct.
Particularly, a J.P. Morgan Securities LLC client filed a complaint about Dale Self. Mainly, the client alleged that Self engaged in unauthorized trading. For this reason, the client allegedly sustained damages. As a result, on May 24, 2023, J.P. Morgan Securities LLC settled this matter by paying the client $30,510.10 in damages.
Specifically, a client of Charles Schwab Co. Inc. contested Dale Self’s sales practices, according to a complaint. Allegedly, Self made misrepresentations of material fact. It appears that Self caused the client to sustain damages relating to mutual funds. Consequently, Charles Schwab Co. Inc. opted to settle the matter on June 27, 2008, by compensating the client in the amount of $12,800.
Are you concerned regarding investments you made with Dale Self? You can contact Soreide Law Group online or at (888) 760-6552 and consult with a securities attorney about a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the United States. Also, the firm takes cases on a contingency fee arrangement and advances all costs. Self and brokerage firms Self worked for deny allegations of sales practice violations.
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