According to FINRA’s BrokerCheck, available to the public on FINRA’s website,
John Edward Dalby (JOHN E DALBY, JOHN DALBY CRD#: 6108863),
currently listed with HENNION & WALSH, INC. of Parsippany, New Jersey, had a “Customer Dispute” filed against him when he was listed with FIRST STANDARD FINANCIAL COMPANY LLC, of Staten Island, New York. The dispute is dated February 21, 2021, alleging, “Mr. Dalby was named in a complaint that asserts the following causes of action: fraud; breach of fiduciary duties; negligence; and aiding and abetting.” The damage amount requested is $5,000,000.00. This dispute is pending and Dalby denies the allegations.
FINRA’s BrokerCheck states that JOHN E DALBY has been in the securities industry for 7 years and was listed with 3 firms. He was registered with FIRST STANDARD FINANCIAL COMPANY LLC, of Staten Island, New York from 08/15/2015 - 09/14/2017.
JOHN E DALBY is currently registered with the following firm since 9/15/2017:
HENNION & WALSH, INC ROUTE 46
WATERVIEW PLAZA
PARSIPPANY, NJ 07054-1018
According to FINRA, firms are responsible for supervising their brokers/financial advisors while they are registered with the firm. First Standard Financial Company LLC may be responsible for losses suffered by clients of JOHN E DALBY while he was registered with them. FINRA states that as a registered representative, whether you are an employee or an “independent contractor” (for regulatory purposes there is no distinction between the two terms), you are obligated to follow all applicable securities laws and regulations. Also, you are expected to know, understand and comply with your firm’s compliance procedures.
If you or a loved one have experienced financial losses due to the actions or recommendations of the former Standard Financial Company of Staten Island, New York, JOHN E DALBY, and currently with Hennion & Walsh of Parsippany, New Jersey, contact Soreide Law Group and speak to an experienced securities lawyer regarding the possible recovery of your investment losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group works on a contingency fee and represents our clients nationwide before FINRA.
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