Daniel Evans Allegedly Recommended Unsuitable Investments
Daniel Evans (CRD #: 1573625), a broker registered with Wells Fargo Clearing Services, is facing an investor dispute, according to his BrokerCheck record, accessed on March 23, 2022. Details are provided below.
On December 17, 2021, an investor alleged that Daniel Evans recommended unsuitable investments between 2015 and 2020.
Unsuitable Investment Allegations
FINRA Rule 2111 requires that a firm or broker associated with a firm make recommendations to an investor based on a reasonable indication that the transaction or strategy that they recommend fits the customer’s investment profile. That investment profile includes information on the investor’s age, financial situation and needs, and risk tolerance.
Investors who rely on their brokers for recommendations regarding transactions and/or investment strategies may be able to recover their losses through FINRA arbitration.
Daniel Evans has passed the following exams:
- Series 63 Uniform Securities Agent State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
- Series 24 General Securities Principal Examination
He is a registered broker in 20 states and is a registered investment adviser in Washington.
Daniel Evans has worked with the following firms:
- Wells Fargo Clearing Services (CRD #: 19616)
- Prudential Securities Incorporated (CRD #: 7471)
- Salomon Smith Barney (CRD #: 7059)
- Royal Alliance Associates (CRD #: 23131)
Kurta Law Can Help
If you have worked with Daniel Evans and have concerns about your investments, don't hesitate to contact us today at 877-600-0098 or firstname.lastname@example.org for a free consultation.
For nearly 20 years, Kurta Law has advocated on behalf of investors who have lost money following broker fraud or misconduct. Kurta Law is a nationally recognized law firm and exclusively represents investors on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Our attorneys will work tirelessly to restore your lost funds and get your financial future back on track.