PHX Financial Inc. broker Daniel Diaz (CRD# 6871968) is accused of unsuitable investment recommendations. He has been registered with PHX Financial Inc. in New York, New York, since 2019. He was registered with National Securities Corporation in Jersey City, New Jersey, from 2017 to 2019.
Daniel Diaz Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
August 2024. “Between the dates of 11/2020 thru 12/2024, Claimant alleges respondent recommended unsuitable investments.” The case was settled for $275,000.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, PHX Financial Inc. may be liable for investment or other losses suffered by Daniel Diaz’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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