DANIEL M KING is currently employed as a Broker and/or Investment Adviser at NEWBRIDGE SECURITIES CORPORATION located at 17 BATTERY PLACE, SUITE 625, NEW YORK, NY, 10004.
DANIEL M KING has worked at NEWBRIDGE SECURITIES CORPORATION since November 30, 2016
Disclosure History
DANIEL M KING has 3 Disclosure Event(s).
Date: May 01, 2017 Category: Customer Dispute Allegations: "Claimants, while a customer of Brookville Capital Partners, LLC alleges Rep and another Representative while employed at that Firm, engaged in recommending and soliciting investments that were not suitable for them. As a result of the investments claimant alleges sustained losses". Damage Amount Requested: $59,330.70
Date: March 16, 2017 Category: Customer Dispute Allegations: CLIENT ALLEGED THAT THE REGISTERED REPRESENTATIVE, WHILE AT LEGEND SECURITIES GUARANTEED HIM HUGE RETURNS WITH LITTLE RISK AND RECOMMENDED STOCKS THAT WERE UNSUITABLE GIVEN HIS AGE, FINANCIAL EXPERIENCE AND LIMITED INVESTMENT EXPERIENCE. Damage Amount Requested: $49,000.00
Date: July 11, 2016 Category: Customer Dispute Allegations: Statement of Claim alleges: Failure to execute, unauthorized trading, respondent superior/vicarious liability Damage Amount Requested: $80,000.00 Settlement Amount: $12,000.00 16-01742
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for DANIEL M KING, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.