he Financial Industry Regulatory Authority Inc. (FINRA) has barred DANIEL TODD LEVINE CRD#: 2874319 from acting as a broker or otherwise associating with a broker-dealer firm on January 8, 2019.
According to FINRA’s BrokerCheck, without admitting or denying the findings, DANIEL TODD LEVINE consented to the sanction and to the entry of findings that he failed to provide FINRA with the requested documents and information in connection with its investigation into allegations that he engaged in undisclosed outside business activities, solicited a senior firm client to borrow funds for an outside business activity, and executed unauthorized trades, among other alleged conduct while he was a broker/registered representative with Morgan Stanley in Greenwood Village, Colorado, a suburb of Denver.
According to FINRA’s BrokerCheck, which is available on FINRA’s website, DANIEL TODD LEVINE has 4 Disclosures on his report. Two of these Disclosures are “Employment Separation After Allegations.” On July 3, 2018, Levine “voluntarily resigned” from Morgan Stanley of Greenwood Village, Colorado, following allegations “concerning activities by representative related to possible, unapproved outside activity.” On August 7, 2018, Levine was “discharged” from First Financial Equity of Greenwood Village, Colorado, following allegations that he failed to disclose a regulatory inquiry to the firm.
DANIEL TODD LEVINE was registered in the securities industry for 21 years and was listed with 5 firms, the 3 most recent are listed below:
07/05/2018 – 08/07/2018 FIRST FINANCIAL EQUITY CORP – GREENWOOD VILLAGE, CO
06/07/2013 – 08/02/2018 MORGAN STANLEY – GREENWOOD VILLAGE, CO
02/15/2008 – 06/17/2013 UBS FINANCIAL SERVICES INC – LITTLETON, CO
If you have suffered losses due to the actions or recommendations of the former MORGAN STANLEY, GREENWOOD VILLAGE, CO broker, DANIEL TODD LEVINE, contact Soreide Law Group and speak to an experienced securities lawyer at no cost to you regarding the possible recovery of your financial losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group represents clients nationwide before FINRA. We operate on a contingency fee basis—no fee to you if no recovery.