Investors reportedly may have incurred losses because of securities broker Daniel Reid Horowitz [CRD: 2681741, New York, New York], according to disclosures on FINRA BrokerCheck. According to the regulator, Horowitz has worked for Wells Fargo Clearing Services LLC and Wells Fargo Advisors since April 1, 2016. Read on to learn more about the disclosures concerning Horowitz.
Evidently, a client of Wells Fargo Advisors contested Daniel Horowitz’s sales practices. Allegedly, Horowitz made unsuitable recommendations and failed to disclose investment risks. It appears that Horowitz caused the client to sustain damages on stocks. Therefore, Wells Fargo Advisors opted to settle the matter on June 25, 2024, by compensating the client in the amount of $1,530,986.
Also, a Wells Fargo Clearing Services LLC client filed FINRA Arbitration No. 23-03370 about Daniel Horowitz. Specifically, the client alleged that Horowitz made unsuitable recommendations. Because of this, the client allegedly sustained damages on stocks. Therefore, on June 25, 2024, Wells Fargo Clearing Services LLC settled this matter.
Notably, a client of Wells Fargo Clearing Services LLC contested Daniel Horowitz’s sales practices by filing FINRA Arbitration No. 23-02430. Allegedly, Horowitz made unsuitable recommendations. It appears that Horowitz caused the client to sustain damages. Therefore, Wells Fargo Clearing Services LLC opted to settle the matter on June 25, 2024, by compensating the client in the amount of $469,014.
Are you looking for more information about Daniel Horowitz? If you incurred losses, contact Soreide Law Group online or at (888) 760-6552 and talk to a securities attorney concerning a potential recovery. Soreide Law Group has recovered losses for investors throughout the United States, works on a contingency fee basis, and advances all costs. Horowitz and brokerage firms Horowitz worked for deny accusations of sales practice violations.
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CONCORDE INVESTMENTS SERVICES, LLC, and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC (Respondents). The Claimants are in their late 70s, retired, and according to the lawsuit, were not looking to take any unnecessary risks with their retirement savings. The Claimants […]
THEODORE WILLIAM BYRER (THEODORE W BYRER, TED BYRER) was registered as a broker with MORGAN STANLEY of Indianapolis, Indiana, from 11/11/2013 - 04/20/2023. He was most recently registered with INTERNATIONAL ASSETS ADVISORY, INC of Westfield, Indiana, from 05/09/2023 - 09/17/2024. According to his BrokerCheck CRD report, dated 7/23/2026, THEODORE W BYRER was suspended for 14 […]
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