Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on September 28, 2016 indicate that Florida-based Kovack Securities broker/adviser Daniel Lodes has received several customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Lodes (CRD# 4380342).
Daniel Lodes has spent fifteen years in the securities industry and has been registered with Kovack Securities in Punta Gorda, Florida since 2013. Previous registrations include JW Cole Financial in Punta Gorda, Florida; NFP Securities in Punta Gorda, Florida; SII Investments in Appleton, Wisconsin; and Salomon Smith Barney in New York, New York. He is a registered broker and investment adviser with seventeen US states and territories: Alaska, Florida, Georgia, Indiana, Kentucky, Massachusetts, Michigan, Minnesota, Montana, New Jersey, New York, North Carolina, Oklahoma, South Carolina, Tennessee, Virginia, and Wisconsin.
According to his BrokerCheck report, Daniel Lodes has received three customer complaints.
In 2014 a customer alleged Daniel Lodes, while employed at NFP Securities, breached his fiduciary duty and acted negligently in connection with the sale of a mezzanine financing real estate fund. The complaint settled for $45,065.
In 2013 a customer alleged Daniel Lodes, while employed at JW Cole Financial, misrepresented material facts and made an unsuitable recommendation. The complaint settled in 2014 for $120,000.
In 2013 a customer alleged Daniel Lodes, while employed at NFP Securities, recommended an unsuitable investment and misrepresented material facts. The complaint settled in 2014 for $48,000.
If you have complaints regarding Daniel Lodes, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. All cases are taken on contingency: we only receive payment if and when you recover 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.