Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on March 22, 2017 indicate that Connecticut-based Advisory Group Equity Services broker Daniel Bailey has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Bailey (CRD# 2624368).
Daniel Bailey has spent 21 years in the securities industry and has been registered with Advisory Group Equity Services in Westport, Connecticut since March 2017. Previous registrations include Source Capital Group in Rochester, New York; Capitol Securities Management in Rochester, New York; the Concord Equity Group in Rochester, New York; Kirlin Securities, which has been expelled by FINRA, in Syosset, New York; Schneider Securities in Denver, Colorado; and HJ Meyers & Company, which has been expelled by FINRA, in Rochester, New York. He is a registered broker and investment adviser with six US states: California, Georgia, Kansas, New York, Pennsylvania, and South Carolina.
According to his BrokerCheck report, Daniel Bailey has received one customer complaint and one pending regulatory complaint.
In October 2016 Daniel Bailey was named responding in a FINRA complaint alleging he recommended unsuitable investments. The complaint remains pending.
In March 2016 a customer alleged, while employed at Source Capital Group, Daniel Bailey unsuitably invested her funds in a shipping company that suffered a dividend suspension following “an unexpected theft at the company.” The complaint settled for $125,000.
If you or someone you know has lost money investing with Daniel Bailey, call Fitapelli Kurta at 877-238-4175 without delay. You may be entitled to recoup your losses. We accept all cases on a contingency basis: Fitapelli Kurta only gets paid if and when you collect money. Time to file your claim may be limited by law, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.