Daniel Staudacher – Financial Advisor/Broker Daniel Staudacher Suspended from Securities Industry

Daniel Staudacher – Financial Advisor/Broker Daniel Staudacher Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses

Daniel Staudacher CRD #2878221

Daniel Staudacher is a financial advisor/broker licensed with Worth Financial Group, Inc. Daniel Staudacher was previously licensed with PFS Investments, Inc. According to FINRA, Daniel Staudacher was suspended from the securities industry for 1 month and fined $5,000.

According to FINRA Allegations:

Daniel Staudacher consented to the sanctions and to the entry of findings that Daniel Staudacher executed unauthorized transactions in two different customers’ accounts. The findings stated that with respect to one of the customers, Daniel Staudacher did not contact her and obtain her authorization prior to executing any of the transactions in her account. With respect to the other customer, Daniel Staudacher did not contact her prior to executing the transactions in her accounts. After these customers complained, Daniel Staudacher’s member firm reversed the transactions in their accounts and made them whole. Daniel Staudacher’s firm imposed a total of $10,000 in monetary sanctions on Daniel Staudacher as a result of his unauthorized trading in the customers’ accounts. The findings also stated that Daniel Staudacher engaged in unapproved securities-related communications with the same two customers via text messaging, which violated his firm’s written supervisory procedures (WSP). The firm did not capture, review or retain Daniel Staudacher’s text message communications.

Goodman & Nekvasil, P.A. May Recover Investor Losses:

If you lost money on investments with Daniel Staudacher 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 Staudacher’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 $180 million on behalf of victimized investors. If you lost money on investments with Daniel Staudacher 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. 

Daniel Staudacher, 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 Staudacher

Contact Us Today!

1 Step 1
FormCraft - WordPress form builder