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Dan Wagner Involved in a Six-Figure Investor Dispute

Aug 31, 2023 Negligence

Dan Wagner (CRD #: 2867278), a broker registered with Arkadios Capital, is the subject of an investor dispute. This disclosure appears in his BrokerCheck record, accessed on August 30, 2023. For details concerning this dispute, keep reading. 

On June 1, 2023, an investor alleged Dan Wagner was negligent in his recommendation of a certain investment product. The allegations do not specify which product. The investor is seeking $100,000. 

Negligence

Many types of broker misconduct may qualify as negligence. Typical examples include unsuitable investment recommendations, misrepresentations or omissions of material fact, and failure to follow instructions.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Negligence may violate this rule. 

Background Information

Dan Wagner 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 6 Investment Company Products / Variable Contracts Representative Examination 

He is a registered broker in 15 states and is a registered investment adviser in South Carolina. 

Dan Wagner has registered with the following firms: 

  • Arkadios Capital (CRD #: 282710) 
  • Wealth Management Advisors (CRD #: 171260) 
  • Triad Advisors (CRD #: 25803) 
  • IC Advisory Services (CRD #: 140190) 
  • The Investment Center (CRD #: 17839) 
  • UVest Financial Services Group (CRD #: 13787) 

Kurta Law Can Help

If you worked with Dan Wagner and have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

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