DANIEL J SEAL II (CRD #2776132) Has 4 Regulatory Events and a Criminal Disclosure on FINRA BrokerCheck

DANIEL J SEAL II (CRD #2776132) is a broker with four regulatory events and one criminal disclosure on FINRA BrokerCheck. We reviewed his BrokerCheck report on April 21, 2026. It reflects four regulatory events and one criminal matter. If you invested with Daniel J Seal II and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Regulatory Actions

Daniel Seal’s FINRA BrokerCheck Report reflects four regulatory event disclosures. Two examples are below. BrokerCheck lists two additional regulatory event disclosures in the same category.

On February 20, 2026, Daniel Seal’s FINRA BrokerCheck Report shows a final regulatory action initiated by the New York Department of Financial Services. BrokerCheck states he provided inaccurate information on a state insurance application. The matter was resolved by stipulation and consent. The sanction was revocation.

On April 21, 2022, Daniel Seal’s FINRA BrokerCheck Report shows another final regulatory action initiated by the Florida Financial Services Department. BrokerCheck states he was denied a life insurance license based on his criminal history and failure to disclose that he had been named in an administrative proceeding. The matter was resolved by order. The sanction was denial.

Criminal Charges

Daniel Seal’s FINRA BrokerCheck Report reflects one criminal disclosure. A summary of the matter is below:

On March 13, 2003, Daniel Seal’s FINRA BrokerCheck Report shows a criminal matter that ended in convictions. BrokerCheck lists convictions for conspiracy to tamper with a witness and witness tampering; aiding and abetting. The report also includes a broker comment stating that, after appeal, he was sentenced on April 25, 2006 to 1 year and 1 day of incarceration, 2 years of supervised release, a $500 fine, and a $300 special assessment.

Rule Summary #1: FINRA Rule 1122 (Filing of Misleading Information as to Membership or Registration)

FINRA Rule 1122 bars associated persons from filing membership or registration information that is incomplete or inaccurate so that it misleads. That rule can matter when a disclosure involves inaccurate or omitted information in a registration or licensing context.

Rule Summary #2: FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade)

FINRA Rule 2010 requires associated persons to observe high standards of commercial honor and just and equitable principles of trade. Regulators often cite it when conduct raises broader integrity and disclosure concerns.

Why This Matters to Investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.

Reg BI has four key obligations:

Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.

Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.

Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.

Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.

Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.

Overall, Regulation Best Interest promotes transparency. It also aims to improve the quality of investment recommendations. It is designed to reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on his FINRA BrokerCheck report, Daniel Seal:

Is currently registered with Primerica Advisors and PFS Investments Inc.

Has passed the Securities Industry Essentials (SIE) exam. Daniel Seal has also passed Series 6, Series 63, Series 65, and Series 26.

Was previously registered with PFS Investments Inc.

Kurta Law Can Help

If you have worked with Daniel Seal and you have concerns about his activity, Kurta Law may be able to help you evaluate your legal options. To speak with Kurta Law, call 877-600-0098 or email info@kurtalawfirm.com.

Helpful resources: Securities Attorney | Unsuitable Investments

For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable. Our firm represents clients nationwide in securities arbitration and related disputes. If you believe a broker or firm mishandled your account, an attorney can review the facts and explain possible next steps.