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.
Investors apparently complained about securities broker Debra Dawn Mesle (also known as Debra Dawn Hanebrink and Debbie Mesle) [CRD: 849766, Chesterfield, Missouri], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mesle worked for Merrill Lynch from June 30, 2006, to January 2, 2026, and has worked for Huntleigh Securities Corporation and Huntleigh […]
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Investors may have suffered financial harm by securities broker and investment adviser Loren James Grabau [CRD: 6984490, Santa Maria, California], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Grabau worked for Independent Financial Group LLC from April 8, 2019, to August 19, 2025. See below to discover more about Grabau’s disclosures. […]
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