Daniel Josef Derfel (Daniel Derfel) – Customer Dispute Filed Alleging Sales Practice Violations Against Financial Advisor/Broker Daniel Derfel | Goodman & Nekvasil P.A., May Recover Investor Losses
Daniel Josef Derfel (Daniel Derfel) CRD #4397012
Daniel Derfel was previously licensed with Aegis Capital Corp. and Rockwell Securities, LLC. According to Daniel Derfel’s BrokerCheck Report, three customer disputes have been filed, alleging sales practice violations against Daniel Derfel.
Customer Dispute 3/1/2017: Allegations against Daniel Derfel are unsuitable transactions and unauthorized trading. This customer dispute settled for $100,000.
Customer Dispute 4/18/2013: Allegations against Daniel Derfel are suitability, churning, misrepresentation, omission of material fact, and breach of fiduciary duty. This customer dispute settled for $124,000. Daniel Derfel contributed $75,200 towards this settlement.
Customer Dispute 2/24/2010: Allegations against Daniel Derfel are churning and suitability. This customer dispute settled for $48,000. Daniel Derfel contributed $48,000 towards this settlement.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost any money on investments with Daniel Derfel, you may be able to recover your losses. If you lost money on investments with Daniel Derfel and believe that the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Daniel Derfel’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Daniel Derfel and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
Some of the information in this blog post was obtained on 2/5/2020 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.
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