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.
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.
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.
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.
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.
ROBERT SCOTT SMITH (ROBERT S SMITH) is currently registered as a broker with EMERSON EQUITY LLC of Newberg, Oregon, since 4/3/2020. He was previously registered as a broker with CONCORDE INVESTMENT SERVICES LLC of Newberg, Oregon, 05/06/2011 - 04/06/2020. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, ROBERT S SMITH has 39 […]
MARILEE ANN HILL (MARILEE A HILL, MARILEE ANN HANSEN) has been registered as a broker with EMERSON EQUITY LLC of San Mateo, California, since 3/26/2020. She was previously registered with PRIMEX of Christiansted, St. Croix, VI, from 10/13/2014 - 04/20/2020. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, MARILEE A HILL has […]
Investors potentially experienced sales practice violations by securities broker Nicholas Thomas Stafford IV (also known as Nicholas Lance and Lance Stafford) [CRD: 2900449, Atlanta, Georgia], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Stafford worked for Bridge Capital Associates Inc. from January 10, 2020, to March 3, 2022, Emerson Equity […]
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