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Daniel Feng Allegedly Failed to Follow Instructions

May 20, 2022 General

Daniel Feng (CRD #: 6769095), a former broker registered, allegedly failed to follow instructions, according to his BrokerCheck record, accessed on May 15, 2022. Keep reading if you have questions about Fan Feng’s conduct as a broker.

Alleged Failure to Follow Instructions

In a dispute filed on March 9, 2022, an investor alleges that Daniel Feng failed to follow her instructions in 2021 and 2022. She seeks $487,000 in damages in this pending dispute.

FINRA Rule 5310

Failure to follow instructions, also known as failure to execute, violates FINRA Rule 5310. This rule requires that brokers conduct due diligence when searching for the best market for securities and execute clients’ instructions correctly and in a timely manner.

Background Information

Daniel Feng has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 31 – Futures Managed Funds Examination
  • Series 7 – General Securities Representative Examination

He previously worked for Morgan Stanley (CRD#:149777).

Kurta Law Can Help

If you worked with Daniel Feng and you have concerns about your investments, please contact us today at 877-600-0098 or 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 and 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.