January 2017- Dallas, Texas
According to publicly available records Daniel W. Staudacher , (CRD# 2878221) , a stockbroker who is currently employed by PFS Investments, disclose a recent FINRA regulatory action resulting in a one month suspension and a fine of $5,000.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Without admitting or denying the FINRA findings, Staudacher consented to sanctions and to the entry of findings that he executed unauthorized transactions in two different customer accounts.
Staudacher has been employed by PFS Investments since 5/1997.
If you have questions about an account in an account handled by Daniel W. Staudacher , contact us to discuss your legal options.
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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