In August 2014, FINRA reported that Dale Kenneth Dahmen of Buffalo, Minnesota, was barred from association with any FINRA member in any capacity on findings that he converted an insurance customer’s funds for his own benefit. The finds state that a $5,000 withdrawal from the policy, intended to repay a loan on the policy, was used by Dahmen to pay personal expenses.
After being contacted by the customer several times Dahmen repaid the money. The findings also state that Dahmen failed to disclose to regulators a tax lien and judgment entered against him and that he failed to respond to FINRA’s request for information in connection with the investigation.
According to FINRA records Dahmen was most recently registered with The O.N. Equity Sales Company from 03/2003-10/2013. If you had an account with Dahmen and are concerned about how that account was handled, call to discuss your legal rights.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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