Investors potentially experienced sales practice violations by securities broker Daniel L. Erben [CRD: 2994110, Saddle Brook, New Jersey], according to information disclosed through Financial Industry Regulatory Authority (FINRA) BrokerCheck. Erben worked for TD Private Client Wealth LLC from October 18, 2018, to March 4, 2026, and became registered with Oppenheimer Co. Inc. in April 2026. Continue reading to learn more about Erben’s disclosures.
Specifically, on January 8, 2026, a TD Private Client Wealth client filed a complaint about Daniel Erben. Primarily, the client alleged that Erben engaged in unauthorized trading by purchasing government bonds in the client’s brokerage account without permission on August 26, 2025, and November 25, 2025. For this reason, the client allegedly sustained damages. Therefore, the client requested compensation from TD Private Client Wealth or Erben. The complaint remains pending.
Additionally, TD Private Client Wealth discharged Erben on February 4, 2026. Allegedly, Erben failed to follow the firm’s procedures relating to discretionary trading and for accepting and placing orders in client accounts.
Are you concerned about investments you made through Daniel Erben? You can contact Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney about a possible recovery of your investment losses. Soreide Law Group has recovered losses for hundreds of investors throughout the US. Also, our securities lawyers handle cases on a contingency fee arrangement and advance all costs. Erben and brokerage firms Erben worked for deny allegations of sales practice violations.
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: GREAT POINT CAPITAL, LLC, (GREAT POINT) and their former registered representative, SUSAN JANE GITT (SUSAN J GITT, SUSAN JANE SCHULTZ) (Respondents). The Claimants are retired and live in Florida. The lawsuit states that the Claimants were looking for conservative income-generating […]
Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: TEXAKOMA FINANCIAL, INC. and their registered representative, SHEA PETER KENNEDY (SHEA P KENNEDY) (Repondents). The Claimant resides in Nevada, and according to the lawsuit, around August of 2023, SHEA P KENNEDY contacted the Claimant unsolicited, apparently after the Claimant had […]
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
Phone:
Fax: 1-954-760-6553
Email: [email protected]