Former Traderfield Securities Inc. broker Daniel Soliman (CRD# 6053300) faces two customer complaints regarding misrepresentation. He was registered with the following companies:
- J.P. Morgan Securities LLC in New York, New York from 2018 to 2019
- Traderfield Securities Inc. in New York, New York from 2016 to 2018
- Legend Securities, Inc. in Staten Island, New York from 2014 to 2016
- Blackwall Capital Markets, Inc. in New York, New York from 2013 to 2014
- Meyers Associates, L.P. in New York, New York from June to September 2013
- EJ Sterling Inc. from New York, New York for 12 days in June 2013
- Meyers Associates, L.P. in New York, New York from April to June 2013
- Spartan Capital Securities, LLC in New York, New York from 2012 to 2013
In June 2019, FINRA barred him after he “consented to the sanction and to the entry of findings that he failed to appear and provide FINRA on-the-record testimony as requested in connection with its investigation into his trading in customers’ accounts to determine whether he was engaged in conduct that violated federal securities laws or regulations or FINRA rules.”
Daniel Soliman Customer Complaints
He has been the subject of two customer complaints in 2019, according to his CRD report:
October 2019. “Client claim fraud misrepresentation.” The customer is seeking $500,000 in damages and the case is currently pending. The complaint took place while he was registered with Traderfield Securities Inc. and was regarding equity OTC and common and preferred stocks.
July 2019. “Client alleges fraud misrepresentation.” The customer sought $62,000 in damages the case was settled for $24,500. The complaint took place while he was registered with Traderfield Securities Inc. and was regarding equity OTC and common and preferred stocks.
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, Traderfield Securities Inc. may be liable for investment or other losses suffered by Daniel Soliman’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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