Were you the victim of former First Standard Financial Company LLC broker John Dalby (CRD# 6108863)? Dalby has been registered with Hennion & Walsh, Inc. in Parsippany, New Jersey since 2017. Previously, Dalby was registered with First Standard Financial Company LLC in Staten Island, New York from 2015 to 2017.
Dalby has been the subject of one customer complaint, according to his CRD report:
February 2021. “Mr. Dalby was named in a complaint that asserts the following causes of action: fraud; breach of fiduciary duties; negligence; and aiding and abetting.” The customer is seeking $5,000,000 in damages and the case is currently pending. The complaint took place while Dalby was registered with First Standard Financial Company LLC.
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, First Standard Financial Company LLC may be liable for investment or other losses suffered by Dalby’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.