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Daniel Finkle Involved in a VUL Dispute

Daniel Finkle (CRD #: 3008698), a broker registered with Hornor, Townsend & Kent, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on January 26, 2024. Investors may also have engaged his services through Finkle Financial. 

On October 23, 2023, an investor alleged that Daniel Finkle misrepresented a variable universal life insurance policy. The client alleges that Mr. Finkle told him that the policy would provide permanent life insurance protection and the ability to withdraw proceeds as needed. 

The investor sought $150,000 but the dispute was denied by the firm. Investors should know, however, that firms can deny disputes without any external review. Our securities attorneys may still be able to help an investor recoup losses following a denial. 


FINRA Rule 2020 forbids the use of deceptive, manipulative, and otherwise fraudulent methods to influence the purchase and sale of securities. The misrepresentation or omission of material facts violates this rule.

High Standards of Commercial Honor

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Misrepresentation also violates this rule. 

What is a Variable Universal Life Insurance Policy (VUL)? 

Unlike other forms of life insurance, Variable Universal Life insurance policies (VULs) invest a portion of investors’ premiums. These investments determine whether the policy’s value increases or decreases, so investors’ returns are not guaranteed.

Background Information 

Daniel Finkle 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 6 Investment Company Products / Variable Contracts Representative Examination 

He is a registered broker in 11 states and is a registered investment adviser in Florida. 

Kurta Law Can Help 

If you have worked with Daniel Finkle and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or 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.