Daniel Deno Barred by FINRA Following Allegations of Fraud

Daniel Deno (CRD #: 6674802), a broker formerly registered with LPL Financial, has been barred by FINRA, according to his BrokerCheck record, accessed on February 7, 2025. Keep reading if you have questions about his alleged conduct as a broker.

Bar by FINRA

On January 28, 2025, Daniel Deno consented to the entry of findings that he allegedly refused to provide documents and testimony and refused to appear for on-the-record testimony requested by FINRA.

According to a Letter of Acceptance, Waiver & Consent (AWC), FINRA requested information and testimony as part of an investigation into allegations that Daniel Deno engaged in felony fraud and theft.

The AWC concluded that the alleged refusal to provide documents, information, and testimony constitute violations of FINRA Rules 8210 and 2010.

FINRA Rule 8210

FINRA Rule 8210 requires members to submit their books and records for inspection and to appear for testimony in connection with FINRA investigations.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Sanctions

Daniel Deno consented to a permanent bar, starting January 28, 2025. You can read the full AWC here.

Pending Criminal Charges

On November 19, 2024, one charge of theft and one charge of fraud were entered against Daniel Deno. Both charges are pending.

Background Information

Daniel Deno has passed the following exams:

• Securities Industry Essentials Examination – SIE
• General Securities Representative Examination – Series 7
• Uniform Combined State Law Examination – Series 66

In the past, he has worked for LPL Financial (CRD#:6413) and Fifth Third Securities (CRD#:628).

Kurta Law Can Help

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

For over 20 years, Kurta Law has advocated on behalf of investors who want 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.