Investors might have sustained losses due to securities broker Thomas Frederick Daniels [CRD: 4161304, Lake Oswego, Oregon], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Daniels worked for Commonwealth Financial Network from November 18, 2005 to July 31, 2023, and Steward Partners Investment Solutions LLC from July 31, 2023, to March 7, 2025. Keep reading to learn more about Daniels’ disclosures.
Particularly, a client of Steward Partners Investment Solutions LLC contested Daniels’ sales practices, according to a complaint dated June 10, 2025. Allegedly, Daniels caused the client to suffer poor account performance. It appears that Daniels allegedly caused the client to sustain damages. For this reason, the client sought compensation from Steward Partners Investment Solutions LLC or Daniels.
Evidently, Steward Partners Investment Solutions LLC disaffiliated with Daniels on February 21, 2025. Allegedly, Daniels engaged in unauthorized trading in over-the-counter equities and stocks.
Do you have concerns or questions regarding investments you made with Thomas Daniels? If so, contact Soreide Law Group at (888) 760-6552 or online and consult with a securities lawyer concerning a potential recovery of your investment losses. Soreide Law Group is known for recovering losses for investors throughout the United States. The firm also takes cases by a contingency fee arrangement and advances all costs. Daniels and brokerage firms Daniels worked for deny accusations of sales practice violations.
Soreide Law Group is investigating potential investor claims involving Cambridge Investment Research following a FINRA disciplinary action concerning Unit Investment Trust (UIT) recommendations. In April 2026, FINRA censured Cambridge Investment Research after finding supervisory deficiencies involving certain UIT recommendations made to retail clients. Investors who incurred excessive fees, unnecessary costs, or other damages associated with […]
Soreide Law Group is investigating potential investor claims involving Infinity Financial Services after FINRA sanctioned the firm for supervisory failures involving deferred variable annuity exchanges and recommendations. Investors who incurred surrender charges or other losses in connection with variable annuity transactions recommended through Infinity should review the allegations that led to FINRA's disciplinary action against […]
Soreide Law Group is investigating potential investor claims involving losses in NextGenTech Investments LLC, a private fund managed by Sestante Capital LLC that purported to provide investors with economic exposure to shares of private companies, including Anduril Industries. Recent criminal proceedings involving Sestante Capital's manager have raised significant concerns regarding the offering, the representations made […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com