Investors apparently complained about securities broker Daniel Reid Horowitz [CRD: 2681741, New York, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Horowitz has worked with Wells Fargo Clearing Services LLC and Wells Fargo Advisors since April 1, 2016. Continue reading to discover more about disclosures associated with Horowitz’s record.
Wells Fargo Advisors Investor Accused Horowitz Of Omissions
Notably, a client filed a complaint about Daniel Horowitz. Mainly, the client alleged that Horowitz made unsuitable recommendations and omissions. Because of this, the client allegedly sustained damages linked to stocks. Therefore, on June 25, 2024, Wells Fargo Advisors settled this matter by paying the client $1,530,986 in damages.
Daniel Horowitz Disclosed Unsuitable Recommendations Allegations By Wells Fargo Clearing Services Client
Specifically, a client of Wells Fargo Clearing Services disputed Horowitz’s sales practices by filing FINRA Arbitration No. 23-03370. Allegedly, Horowitz made unsuitable recommendations. It appears that Horowitz allegedly caused the client to experience damages associated with stocks. As a result, Wells Fargo Clearing Services opted to settle the matter on June 25, 2024.
Wells Fargo Clearing Services Investor Accused Horowitz Of Unsuitable Advice
Evidently, a Wells Fargo Clearing Services client filed FINRA Arbitration No. 23-02430 about Daniel Horowitz. Primarily, the client alleged that Horowitz made unsuitable recommendations. For this reason, the client allegedly experienced damages. Consequently, on June 25, 2024, Wells Fargo Clearing Services settled this matter by paying the client $469,014 in damages.
Were You Impacted By Financial Advisor / Securities Broker Daniel Horowitz?
Do you have concerns or questions regarding investments you made with Daniel Horowitz? You can get in touch with Soreide Law Group online or at (888) 760-6552 and consult with a securities lawyer 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. Horowitz and brokerage firms Horowitz worked for deny allegations of sales practice violations.
