Daniel Levine – Financial Advisor/Broker Daniel Levine Barred by FINRA

Daniel Levine – Financial Advisor/Broker Daniel Levine Barred by FINRA | Goodman and Nekvasil May Recover Investor Losses 

Daniel Levine Financial Advisor/Broker CRD #2874319

Daniel Levine was previously licensed with First Financial Equity Corporation, Morgan Stanley and UBS Financial Services, Inc. FINRA reports that Daniel Levine, was barred from association with any FINRA member in any capacity. FINRA reports that Daniel Levine consented to the sanction and to the entry of findings that Daniel Levine failed to provide documents and information requested by FINRA during an investigation into allegations he engaged in an undisclosed outside business activity. FINRA alleged that Daniel Levine solicited a senior Firm customer to borrow funds for an outside business activity and executed unauthorized trades.

FINRA reports that Daniel Levine was discharged from First Financial Equity Corporation on August 7, 2018.

FINRA also reports that Daniel Levine resigned from Morgan Stanley Wealth Management on July 3, 2018. Morgan Stanley Wealth Management reported to FINRA of allegations concerning activities by Daniel Levine related to possible, unapproved outside business activity.

Goodman & Nekvasil, P.A., a Clearwater, Florida, law firm with a national practice representing victimized investors, continues to investigate brokerage firms that placed elderly retirees and other conservative investors in high-risk investments.

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. We would like to discuss the possibility of your retaining our firm to represent you in an arbitration action.

Goodman & Nekvasil, P.A., has filed hundreds of cases against brokerage firms selling high-risk investments and has recovered more than $180 million dollars on behalf of victimized investors.  We allege in these cases that these investment recommendations were unsuitable for our clients in view of their financial situation, needs and investment objectives.  All our cases are handled on a purely contingency fee basis.

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. Finally, the filing of such a case should not affect your ownership of these investments in any way.

If you incurred losses on your investment with Daniel Levine, you may be able to recover your losses from Morgan Stanley and/or UBS Financial Services, Inc. This is because Morgan Stanley and UBS Financial Services, Inc. had a duty to supervise Daniel Levine. If you 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. 

Daniel Levine, Investment Fraud Attorney, Stockbroker Misconduct Disciplinary Actions, Unsuitable Investment Advice, Investment Fraud, Churning, Misrepresentation and Omission of Material Facts, Elder Fraud, Unauthorized Trading, Theft, Selling Away, Unapproved Outside Business, Nationwide, PIABA, SEC, Securities Exchange Commission, NASD, National Association of Securities Dealers, NASDAQ, Dow Jones, Wall Street, New York Stock Exchange, Daniel Levine

Contact Us Today!

1 Step 1
FormCraft - WordPress form builder