Were you the victim of Wells Fargo Clearing Services, LLC broker Daniel Horowitz (CRD# 2681741)? He has been registered with Wells Fargo Clearing Services, LLC in New York, New York, since 2016. He was registered with Credit Suisse Securities (USA) LLC in New York, New York, from 2006 to 2016.
Daniel Horowitz Customer Complaints
He has been the subject of three customer complaints between 2023 and 2024, according to his CRD report:
March 2024. “Customer complained that financial advisor did not disclose risks of investments and that recommendations were unsuitable. (10/2021).” The customer sought $2,039,031.29 in damages, and the case was settled for $1,530,986. The complaint was regarding common and preferred stock losses.
November 2023. “Claimant alleges that October 2021, the FA recommended unsuitable investments.” The case is currently pending. The complaint was regarding common and preferred stock losses.
September 2023. “In October 2021, Claimants’ Financial Advisor (FA) made unsuitable investment recommendations.” The case was settled for $469,014.
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, Wells Fargo Clearing Services, LLC may be liable for investment or other losses suffered by Daniel Horowitz’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.
"*" indicates required fields