Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on December 12, 2016 indicate that California-based TransAmerica Financial Advisors broker Daniel Charlier has been the subject of resolved or pending customer disputes. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Charlier (CRD# 3104464).
Daniel Charlier has spent eighteen years in the securities industry and has been registered with TransAmerica Financial Advisors in Beverly Hills, California since 2.12 previous registrations include World Group Securities in Chino, California (2002-2012) and WMA Securities in Duluth, Georgia (1998-2002). He is a registered broker and investment adviser with two US states: California and Florida.
According to his BrokerCheck report, Daniel Charlier has received one customer complaint and one pending customer complaint.
In 2013 the Internal Revenue Service filed a tax lien totaling $247,100 against Daniel Charlier. The lien remains outstanding.
In 2013 the Internal Revenue Service filed a tax lien totaling $328,000 against him. The lien remains outstanding.
In 2010 the Internal Revenue Service filed a tax lien totaling $121,667 against him. The lien remains outstanding.
In 2006 a customer alleged Daniel Charlier, while employed at World Group Securities, did not follow her request to cancel a policy. The complaint settled for $5,180.
In 2001 a customer alleged Daniel Charlier, while employed at WMA Securities, misrepresented material facts related to investments. The customer is seeking $62,000 in damages in the pending complaint.
If you have lost money investing with Daniel Charlier, you may be entitled to recoup your losses. Call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis, which means we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.