Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on March 2, 2016 indicate that California-based Woodbury Financial Services broker/adviser Daniel Dunn is the subject of several customer complaints. The securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against Mr. Dunn (CRD# 3105100).
Daniel Dunn has spent fifteen years in the securities industry and has been registered with Woodbury Financial Services in Mission Viejo, California since 2006. Previous registrations include AIG Financial Advisors in Mission Viejo, California (2005-2006); SunAmerica Securities in Phoenix, Arizona (2003-2005); Global Express Securities in Las Vegas, Nevada (2002); Dean Witter Reynolds in Purchase, New York (2000); Merrill Lynch in New York, New York (1999); and Edward D. Jones & Company in St. Louis, Missouri (1998-1999). He is a registered broker and investment adviser with six US states: Arizona, California, Hawaii, Nevada, New York, and Texas.
In August 2015 a customer alleged Daniel Dunn, while employed at Woodbury Financial Services, made a poor recommendation to sell a direct investment. The customer is seeking damages exceeding $48,000 in the pending complaint.
In 2013 a customer alleged Daniel Dunn, while employed at Woodbury Financial Services, recommended and sold an unsuitable tenant-in-common investment. The complaint settled in 2014 for $130,000.
In 2012 a customer alleged Daniel Dunn, while employed at Woodbury Financial Services, recommended unsuitable investments in an Icon Leasing Fund Eleven and Hartford and MetLife variable annuities. The complaint settled in 2013 for $122,500, to which Mr. Dunn individually contributed $61,250.
In 2008 a customer alleged Daniel Dunn, while employed at AIG Financial Advisors, encouraged her to borrow funds secured by her home for unsuitable investment purposes. The complaint settled in 2009 for $45,000, to which Mr. Dunn individually contributed $31,000.
In 2007 a customer alleged Daniel Dunn, while employed at Woodbury Financial Services and AIG Financial Advisors, “caused her to borrow money against the family home and invest the proceeds in an unsuitable investment. The complaint settled in 2008 for more than $394,500.
If you or someone you know has lost money investing with Daniel Dunn, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: you will only pay Fitapelli Kurta if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.