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Daniel Moran: Settled, Denied Complaints Against Merrill Lynch Rep

Daniel MoranPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 28, 2018 indicate that Minnesota-based Merrill Lynch broker/adviser Daniel Moran has received a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Moran (CRD# 1864762).

Daniel Moran has spent 30 years in the securities industry and has been registered with Merrill Lynch in Bloomington, Indiana since 1988. He has no previous registrations. He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 27, 1993; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 4, 1988; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on September 17, 1988. He is a registered broker and investment adviser with 18 US states and territories: Arizona, California, Colorado, Florida, Georgia, Illinois, Indiana, Maryland, Massachusetts, Minnesota, Missouri, North Carolina, South Carolina, South Dakota, Texas, Virginia, Washington, and Wisconsin.

According to his BrokerCheck report, he has received one customer complaint and three denied customer complaints.

In October 2018 a customer alleged Daniel Moran, while employed at Merrill Lynch, failed to follow instructions. The customer sought unspecified damages in the complaint, which was denied.

In 2003 a customer alleged Daniel Moran, while employed at Merrill Lynch, executed unauthorized trades and recommended unsuitable investments. The complaint settled for $125,000.

In 2002 a customer alleged Daniel Moran, while employed at Merrill Lynch, recommended unsuitable mutual fund investments. The customer sought unspecified damages in the complaint, which was denied.

In 2002 a customer alleged he, while employed at Merrill Lynch, recommended an inappropriate investment. The customer sought unspecified damages in the complaint, which was denied.

If you or someone you know has a complaint regarding Daniel Moran, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be able to recover lost funds. Fitapelli Kurta accepts all cases on contingency: we only get paid if and when you collect money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.

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