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Darcy Dahl Subject of Liquidity Access Line Dispute

Darcy Dahl (CRD #: 5567260), a broker registered with Morgan Stanley, is facing an investor dispute, according to her BrokerCheck record, accessed on August 8, 2023. Details are provided below.

On July 24, 2023, an investor alleged that Darcy Dahl established a liquidity access line that was not in their best interest. Liquidity access lines allow investors to use securities as collateral for a line of credit. The investor is seeking $173,000. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Establishing liquidity access lines that are not in a customer’s best interest may violate this rule. 

Background Information 

Darcy Dahl has passed the following exams: 

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

She is a registered broker in 43 states and D.C. She is also a registered investment adviser in Minnesota and Texas. 

Darcy Dahl has only registered with Morgan Stanley (CRD #: 149777). 

Kurta Law Can Help

If you worked with Darcy Dahl and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com 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.

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