DANIEL JOSEPH CARNEY is currently employed as a Broker and/or Investment Adviser at JANNEY MONTGOMERY SCOTT LLC located at 36 South County Commons Way, Unit C2, South Kingstown, RI, 02879.
DANIEL JOSEPH CARNEY has worked at JANNEY MONTGOMERY SCOTT LLC since October 16, 2014
Disclosure History
DANIEL JOSEPH CARNEY has 5 Disclosure Event(s).
Date: February 17, 2004 Category: Customer Dispute Allegations: CLIENT ALLEGES DAMAGES ARISING FROM UNSUITABLE INVESTMENTS. Damage Amount Requested: $76,000.00
Date: April 07, 2003 Category: Customer Dispute Allegations: CLIENT ALLEGES PURCHASES IN TRUST ACCOUNT AND PROFIT SHARING ACCOUNT WERE UNSUITABLE. ALSO ALLEGES UNAUTHORIZED TRADING. CLIENT DOES NOT DEMAND SPECIFIC AMOUNT HOWEVER ALLEGATION IS BELIEVED TO BE IN EXCESS OF $5,000. Settlement Amount: $50,000.00 Broker Comment: IN ORDER TO AVOID THE RISKS AND COST OF ARBITRATION BOTH PARTIES AGREED TO SETTLE THE MATTER.
Date: October 25, 2002 Category: Customer Dispute Allegations: CLIENT ALLEGES LOSSES IN EXCESS OF $500,000 DUE TO UNAUTHORIZED TRADING EXECUTED IN HER ACCOUNT. Damage Amount Requested: $500,000.00
Date: September 17, 2002 Category: Customer Dispute Allegations: CLIENT ALLEGES UNSUITABLE INVESTMENT STRATEGIES & UNAUTHORIZED TRADING LED TO LOSSES IN HIS INDIVIDUAL ACCOUNT AND IRA ACCOUNT. Damage Amount Requested: $1,040,186.00 Settlement Amount: $50,000.00 Broker Comment: IN ORDER TO AVOID THE RISKS AND COST OF ARBITRATION THE PARTIES AGREED TO SETTLE THE MATTER.
Date: February 12, 2001 Category: Customer Dispute Allegations: TAX CONSEQUENCES RESULTING FROM ACTIVITY IN ACCOUNT. Damage Amount Requested: $10,000.00 Broker Comment: CLIENT REALIZED PROFIT ON SALE OF COMVERSE TECH SOLD 6/19/2000 OF APPROX. $95,000. CLIENT AND FA DECIDED ON INVESTMENTS TO PURCHASE WITH THESE PROCEEDS. OVERALL GAIN FOR YEAR 2000 WAS APPROX. $45,632. LEGG MASON DECLINED CLAIM FOR DAMAGES.
More Information
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