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Customer Alleges Daniel Tompkins Made Unauthorized Sales of Securities

Daniel TompkinsPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 5, 2018 indicate that Florida-based Wells Fargo Clearing Services broker/adviser Daniel Tompkins has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Tompkins (CRD# 2165219).

Daniel Tompkins has spent 25 years in the securities industry and has been registered with Wells Fargo Clearing Services in Boca Raton, Florida since 2009. Previous registrations include Citigroup Global Markets in Taramac, Florida (2007-2009); Citicorp Investment Services in Taramac, Florida (2002-2007); Quick & Reilly in New York, New York (2001-2002); Bear Stearns & Company in New York, New York (1006-2001); Painewebber in Weehawken, New Jersey (1994-1996); and Smith Barney Shearson in New York, New York (1991-1994). He has passed three securities industry examinations: Seres 65 (Uniform Investment Adviser Law Examination), which he obtained on January 28, 2002; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 20, 1991; and Series 7 (General Securities Representative Examination), which he obtained on September 3, 1991. He is a registered broker and investment adviser with 15 US states and territories: Alabama, Arizona, Arkansas, California, Colorado, Florida, Georgia, Illinois, Maryland, New Jersey, New York, North Carolina, Tennessee, Texas, and Utah. He is registered with five self-regulatory organizations (SROs): FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one customer complaint, one denied customer complaint and one pending customer complaint.

In February 2018 a customer alleged Daniel Tompkins, while employed at Wells Fargo Advisors, made unauthorized sales of securities in her account. The customer is seeking $200,000 in damages in the pending complaint.

In 2009 a customer alleged Daniel Tompkins, while employed at Citigroup Global Markets, recommended unsuitable investments, misrepresented material facts, breached his fiduciary duty, acted negligently, and executed unauthorized trades. The complaint settled for $20,000.

In 2009 a customer alleged Daniel Tompkins, while employed at Citigroup Global Markets, recommended unsuitable trades. The customer sought unspecified damages in the complaint, which was denied.

If you or someone you know has lost money investing with Daniel Tompkins, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: 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.