Investors may have suffered financial harm by securities broker Daniel Malcolm Makin [CRD: 4367894, Westerly, Rhode Island], given the disclosures on FINRA BrokerCheck. Makin worked for Raymond James Financial Services Inc. from March 21, 2001, to September 30, 2025. Investors should read below to review the disclosures reported on his record.
Specifically, a client filed a complaint about Daniel Makin. Mainly, the client alleged that Makin charged fees for services not received. For this reason, the client allegedly sustained damages. As a result, on May 13, 2026, Raymond James Financial Services Inc. settled this matter by compensating the client.
Additionally, a client of Raymond James Financial Services Inc. contested Makin’s sales practices, according to a complaint dated February 24, 2026. Allegedly, Makin failed to disclose important information about an annuity. It appears that Makin allegedly caused the client to sustain damages associated with variable annuities. Consequently, the client sought compensation of $50,000. However, the firm denied this complaint.
Also, on February 19, 2016, a Raymond James Financial Services Inc. client filed a complaint about Daniel Makin. Primarily, the client alleged that Makin failed to follow instructions concerning reducing market exposure. Because of this, the client allegedly sustained damages tied to mutual funds, variable annuities, exchange-traded funds, and collateralized mortgage obligations. Therefore, the client requested compensation exceeding $5,000. However, the firm denied this complaint.
Are you worried about investments you made through Daniel Makin? If so, reach out to Soreide Law Group at (888) 760-6552 or online and talk to a securities attorney concerning a possible recovery of your investment losses. Soreide Law Group has recovered losses for many clients throughout the US. Also, our securities lawyers work on a contingency fee basis and advance all costs. Makin and brokerage firms Makin worked for deny allegations 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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