The Fort Lauderdale-based Soreide Law Group, (888) 760-6552, recently obtained the summary of information from FINRA’s website, under “Disciplinary and Other FINRA Actions, October, 2014.”
Daniel Timothy Cowperthwaite (CRD #1398178, Pinecrest, Florida)
was assessed a deferred fine of $5,000 and suspended for three months by FINRA for allegedly received two loans improperly for approx. $4,300 from a client of his firm, without the firm’s knowledge or approval.
FINRA's findings stated that Cowperthwaite repaid all but $500 after the client complained to the firm. The suspension is in effect from August 18, 2014, through November 17, 2014.
(FINRA Case #2013035441402)
DANIEL T. COWPERTHWAITE was previously registered with the following securities firm(s):
Registered Dates Firm
04/2005 - 01/2013 PRUCO SECURITIES, LLC. (CRD# 5685) - CORAL GABLES, FL
04/2001 - 09/2004 JEFFERSON PILOT SECURITIES CORPORATION (CRD# 3870) - CONCORD, NH
09/1985 - 08/2000 PRUCO SECURITIES CORPORATION (CRD# 5685) - NEWARK, NJ
This ends the information from FINRA's website.
Call the Fort Lauderdale-based Soreide Law Group if you sustained losses due to your broker/financial advisor for a free consultation on how to potentially recover those losses. To speak with an attorney, call 888-760-6552.
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