FINRA recently announced that it has barred Daniel Howard Glick (CRD #2175655, Chicago, Illinois) from association with any FINRA member in any capacity. The FINRA notice stated that, without admitting or denying the findings, Glick consented to the sanction and to the entry of findings that in the course of an investigation, FINRA requested documents and information concerning findings by the Certified Financial Planner Board of Standards that Glick forged clients’ signatures on letters to a bank in order to gain access to, and misappropriate, their assets.
The findings stated that Glick informed FINRA that he will not provide the requested documents and information. The case number with FINRA’s full findings is FINRA Case #2014040173501.
The White Law Group is investigating the liability that Glick’s FINRA employer may have for his actions.
When a broker violates industry rules, his or her employer may be liable for negligent supervision and responsible for investment losses in a FINRA dispute resolution claim.
According to Glick’s BrokerCheck report, he worked with Transamerica Financial Advisor from January 2012 through March 2014, World Group Securities from October 2007 through January 2012, and World Equity Group from May 2002 through July 2007.
If you were a client of Daniel Howard Glick and would like to discuss your potential to recover your losses through a FINRA arbitration claim, please call the securities attorney of The White Law Group at (312) 238-9650 for a free consultation.
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida.
To learn more about The White Law Group, visit www.WhiteSecuritesLaw.com.