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Daniel Tomlinson Allegedly Failed to Follow Instructions

Daniel Tomlinson (CRD #: 6788124), a broker registered with Merrill Lynch, Pierce, Fenner & Smith, was involved in a recent dispute, according to his BrokerCheck record, accessed on August 7, 2022. If you have questions about his conduct as a broker, keep reading.

Investor Dispute

On May 20, 2022, an investor alleged that Daniel Tomlinson failed to follow the client’s instructions on April 19, 2022. This dispute was denied by the firm.

Investors should know, however, that firms can deny disputes without an outside review. Investors may be able to recoup their losses by seeking out FINRA arbitration after a denial.

FINRA Rule 2010

Failure to follow instructions violates FINRA Rule 2010, which requires brokers to uphold high standards of commercial honor and just and equitable principles of trade.

Background Information

Daniel Tomlinson has passed the following exams:

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

Daniel Tomlinson is a registered broker in 12 states and a registered investment adviser in California and Texas.

Kurta Law Can Help

If you worked with Daniel Tomlinson 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.