Daniel JS Hee (Daniel Hee) – Broker Daniel Hee Suspended from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses
Daniel Hee was a previously licensed broker with Wells Fargo Clearing Services, LLC and UBS Financial Services Inc. According to FINRA, Daniel Hee was suspended for ten business days and fined $5,000 in December 2020.
According to FINRA Allegations:
Without admitting or denying the findings, Daniel Hee consented to the sanctions and to the entry of findings that Daniel Hee took customers’ nonpublic personal information (NPI) from his member firm and gave it to a representative he planned to work with at a new firm, without his firm’s or the customers’ knowledge or consent. The findings stated that while Daniel Hee was still registered through an association with the firm, and in anticipation of moving to a new firm, Daniel Hee printed account documents for customers and hand-delivered them to a representative Daniel Hee planned to work with at the new firm. The documents Daniel Hee delivered included NPI, such as social security numbers, birth dates, and account numbers, which was information provided to the firm by those customers. The documents Daniel Hee removed were never uploaded to the new firm’s system and were not used to recruit any customers away from the firm.
According to Daniel Hee’s BrokerCheck Reports:
Daniel Hee was discharged from Wells Fargo Clearing Services, LLC in February 2019. Daniel Hee was discharged after initially providing misinformation to the Firm during investigation regarding source of client documents, belonging to another brokerage Firm, which were found on Wells Fargo premises.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost money on investments with Daniel Hee and believe 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 Hee’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.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $200 million on behalf of victimized investors. If you lost money on investments with Daniel Hee 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 12/10/2020 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.