Goodman & Nekvasil P.A., May Recover Investor Losses – Daniel Patrick Mullan (Daniel Mullan) Barred from Securities Industry and Fired by NYLife Securities, LLC
From 2014 until Daniel Mullan’s firing in 2016, Daniel Mullan was licensed with NYLife Securities LLC. Daniel Mullan was previously licensed with Wells Fargo Advisors Financial Network, LLC. According to FINRA’s records, Daniel Mullan was fired by NYLife Securities LLC on January 14, 2016. NYLife Securities LLC reported to FINRA that Daniel Mullan was fired for, among other issues, unsuitable sales.
Following Daniel Mullan’s discharge by NYLife Securities LLC, FINRA investigated Daniel Mullan and brought a disciplinary action against Daniel Mullan. Daniel Mullan was permanently barred from the securities and investment banking industry on September 18, 2017. FINRA reports that Daniel Mullan failed to request termination of Daniel Mullan’s suspension within three months of the date of the Notice of Suspension; therefore, Daniel Mullan was automatically barred from association with any FINRA member in any capacity. FINRA reports that Daniel Mullan had previously been suspended for failing to respond to a FINRA request for information.
FINRA reports that four complaints involving Daniel Mullan’s conduct with NYLife Securities LLC were filed, alleging unauthorized transactions, unsuitable investments, and/or other allegations. These complaints all settled, with the largest settling for $144,866.62 and $120,465.56.
If you lost any money on investments with Daniel Mullan, you may be able to recover your losses from NYLife Securities LLC and/or Wells Fargo Advisors Financial Network, LLC. This is because NYLife Securities LLC and Wells Fargo Advisors Financial Network, LLC had a duty to supervise Daniel Mullan.
If you lost money on investments with Daniel Mullan 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 against NYLife Securities LLC and/or Wells Fargo Advisors Financial Network, LLC concerning Daniel Mullan’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 $300 million on behalf of victimized investors. If you lost money on investments with Daniel Mullan 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.
Keywords: Daniel Patrick Mullan, Mullan, Daniel Mullan, FINRA, NYLife, Wells Fargo Advisors Financial Network, FINRA, SEC, Fraud, Attorney, Broker, Brokerage, Firm, Brokerage Firm, Invest, Lawyer, Securities Lawyer, Goodman and Nekvasil, Nekvasil, Goodman, Investor, Investment, Financial, Financial Services, Securities