The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, September, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552.
Daniel Patrick Deighan (CRD #1029361, Registered Principal, Merritt Island, Florida)
was fined $27,500 and suspended from association with any FINRA member in any capacity for seven months. Without admitting or denying the findings, Daniel P. Deighan consented to the described sanctions and to the entry of findings that he recommended and sold high-risk private placements to customers, without a reasonable basis to believe that the transactions were suitable given the customers’ financial circumstances and conditions.
FINRA's findings said Deighan overstated the customers’ net worth and annual income on new account documents. He also made recommendations that resulted in an overconcentration of the customers’ net worth in the private placements. Daniel P. Deighan, is his firm’s president.
The suspension is in effect from July 15, 2013, through February 14, 2014.
(FINRA Case #2011030085101)
Daniel Patrick Deighan, according to FINRA's BrokerCheck, was previously registered with FINRA at the following brokerage firms:
BOOGIE INVESTMENT GROUP, INC.
CRD# 142200
MELBOURNE, FL
01/2007 - 09/2011
BOOGIE INVESTMENT GROUP, INC.
CRD# 136161
ORLANDO, FL
11/2006 - 03/2007
CAMBRIDGE INVESTMENT RESEARCH, INC.
CRD# 39543
MELBOURNE, FL
08/2003 - 11/2006
This ends the information from FINRA.
Soreide Law Group offers you a free consultation and portfolio analysis to determine if you have legal grounds to pursue a FINRA arbitration. To speak with a lawyer please call (888) 760-6552.
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