Soreide Law Group, based in Florida, obtained the following information, available to the public on FINRA’s website, from FNRA’s Disciplinary Actions of September, 2017, regarding Florida broker:
Daniel Joseph Hushek III (CRD #4250117, Bradenton, Florida)
Hushek was assessed a deferred fine of $10,000 and suspended by FINRA for 15 months for allegedly failing to adequately supervise the sales practice of a registered representative who recommended and engaged in unsuitable trading of non-traditional exchange-traded funds (ETFs).
According to FINRA’s findings, Hushek’s alleged supervisory failure, facilitated the representative’s ongoing sales practice violations. As a consequence, the representative’s clients’ accounts sustained realized and unrealized losses of more than $2.4 million.
The suspension is in effect from July 17, 2017, through October 16, 2018.
(FINRA Case#2013035817702)
According to FINRA’s BrokerCheck, Daniel Joseph Hushek III, has been in the securities industry for 14 years and was listed with 5 firms, the most recent listed below:
08/05/2005 - 01/27/2017 G.F. INVESTMENT SERVICES, LLC - SARASOTA, FL
If you were a client of G.F. INVESTMENT SERVICES of Sarasota, Florida, and/or broker Daniel Joseph Hushek III, and experienced losses due to alleged supervisory failure with unsuitable trading of non-traditional echange-traded funds (ETFs), call the Florida-based Soreide Law Group and speak to a lawyer at no-cost regarding the possible recovery of your losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group represents clients nationwide before FINRA on a contingency fee basis. Let our many years of experience work for you.
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