Dale Self Allegedly is the Subject of a FINRA Fine
Dale Self (CRD #: 2782162) is the subject of a FINRA suspension. This disclosure appears on his BrokerCheck record, accessed on August 23, 2024. Details concerning this suspension are provided below.
Regulatory Action
On July 30, 2024, Dale Self entered into an Acceptance, Waiver, and Consent agreement (AWC) with FINRA in which he consented to the findings that he improperly removed and retained nonpublic customer information without his member firm’s consent or the customer’s consent. Dale Self allegedly used the information to populate new account forms and customer relationship software at the investment advisory firm.
As part of the terms of the AWC, Dale Self consented to a $5,000 fine and a 15-day suspension.
You can read a copy of the AWC here.
Background Information
Dale Self has passed the following exams:
- Series 66 Uniform Combined State Law Examination
- Series 63 Uniform Securities Agent State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
- Series 10 General Securities Sales Supervisor – General Module Examination
- Series 9 General Securities Sales Supervisor – Options Module Examination
During his 25 years of experience, he has registered with six firms:
- JP Morgan Securities (CRD #: 79)
- Chase Investment Services (CRD #: 25574)
- TD Ameritrade (CRD #: 7870)
- Charles Schwab & Co (CRD #: 5393)
- State Street Securities (CRD #: 39025)
- Royce Investment Group (CRD #: 10494)
Kurta Law Can Help
If you worked with Dale Self and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation.
For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.
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