DANIEL ROBERT LODES

DANIEL ROBERT LODES is currently employed as a Broker and/or Investment Adviser at BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC. located at 2000 Rio De Janeiro Ave, Suite 4, Punta Gorda, FL, 33983.

DANIEL ROBERT LODES has worked at BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC. since December 05, 2017

Disclosure History

DANIEL ROBERT LODES has 4 Disclosure Event(s).

Date: October 07, 2014
Category: Customer Dispute
Allegations: CLAIM ALLEGES BREACH OF FIDUCIARY DUTY, NEGLIGENCE, AND OTHER CAUSES OF ACTION IN CONNECTION WITH THE SALE OF A MEZZANINE FINANCING REAL ESTATE FUND IN 2007.
Damage Amount Requested: $100,000.00
Settlement Amount: $45,065.00
Broker Comment: I RELIED ON NFP'S EXTENSIVE DUE DILIGENCE IN OFFERING THIS INVESTMENT TO THE CLIENT. ONCE THE SEC FOUND THAT THE INVESTMENT WAS FRAUDULENT, INVESTORS RECEIVED A NUMBER OF INQUIRIES FROM SECURITIES PLAINTIFF'S ATTORNEYS. I ENCOURAGED [CUSTOMER] TO WORK WITH AN ATTORNEY TO RECOVER HER LOSSES. SINCE I CONTINUE TO SERVE AS HER FINANCIAL ADVISOR, SHE EXPRESSLY TOLD HER ATTORNEY TO EXCLUDE ME FROM THE CLAIM MADE. HE DID NOT, AND DESPITE A SUBSEQUENT LETTER FROM HER REQUESTING TO REMOVE ME FROM HER CLAIM, HE STILL DID NOT. I CONTINUE TO ENJOY A GOOD RELATIONSHIP WITH [CUSTOMER], AND SHE REMAINS MY CLIENT. I RELIED ON NFP'S EXTENSIVE DUE DILIGENCE IN OFFERING THIS INVESTMENT TO THE CLIENT. I CONTINUE TO ENJOY A GOOD RELATIONSHIP WITH HER, AND SHE REMAINS MY CLIENT.

Date: October 02, 2013
Category: Customer Dispute
Allegations: CLIENT ALLEGES BREACH OF FIDUCIARY DUTY, NEGLIGENCE, NEGLIGENT SUPERVISION, FRAUD, AND BREACH OF CONTRACT; CLIENT FURTHER ALLEGES THAT REPRESENTATIVE MISREPRESENTED RISKS ASSOCIATED WITH PRIVATE PLACEMENT AND MADE UNSUITABLE PURCHASE RECOMMENDATION TO A NON-ACCREDITED INVESTOR.
Settlement Amount: $120,000.00
Broker Comment: I RELIED ON NFP'S EXTENSIVE DUE DILIGENCE IN OFFERING THIS INVESTMENT TO THIS CLIENT. I CONTINUE TO ENJOY A GOOD RELATIONSHIP WITH THE HER, AND SHE STILL REMAINS MY CLIENT

Date: October 02, 2013
Category: Customer Dispute
Allegations: COMPLAINT ALLEGES MISREPRESENTATION AND OTHER CAUSES OF ACTION IN CONNECTION WITH THE SALE OF A MEZZANINE FINANCING INVESTMENT IN 2007.
Damage Amount Requested: $100,000.00
Broker Comment: I RELIED ON NFP'S EXTENSIVE DUE DILIGENCE IN OFFERING THIS INVESTMENT TO THE CLIENT. I CONTINUE TO ENJOY A GOOD RELATIONSHIP WITH HER, AND SHE REMAINS MY CLIENT.

Date: July 16, 2013
Category: Customer Dispute
Allegations: COMPLAINT ALLEGES UNSUITABILITY, MISREPRESENTATION AND OTHER CAUSES OF ACTION IN CONNECTION WITH A MEZZANINE INVESTMENT.
Damage Amount Requested: $100,000.00
Settlement Amount: $48,000.00
Broker Comment: I RELIED ON NFP'S EXTENSIVE DUE DILIGENCE IN OFFERING THIS INVESTMENT TO THESE CLIENTS. I CONTINUE TO ENJOY A GOOD RELATIONSHIP WITH THE CLIENTS, AND THEY REMAIN CLIENTS.

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.

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