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.
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Investors might have sustained losses due to securities broker Roger Allan Roemmich [CRD: 1293322, Red Bank, New Jersey], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Roger Roemmich worked for Alexander Capital LP from October 2, 2020, to May 30, 2025, as a general securities representative. See below to learn more about […]
Investors potentially incurred losses because of securities broker Avinesh Kumar Shankar [CRD: 6232970, Roseville, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Avinesh Shankar worked for Pruco Securities LLC from October 9, 2019, to March 13, 2024. Investors are encouraged to continue reading to find out more about the disclosures involving Shankar […]
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