Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on February 9, 2017 indicate that Florida-based Allstate Financial Services broker Ken Daley has been the subject of a denied customer complaint and is the subject of an unsatisfied tax lien. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Daley (CRD# 1774653).
Ken Daley has spent 28 years in the securities industry and has been registered with Allstate Financial Services in Boynton Beach, Florida since March 2016. Previous registrations include Dawson James Securities in Boca Raton, Florida; Newbridge Securities in Boca Raton, Florida; National Securities in Seattle, Washington; Sterling Financial Investment Group in Boca Raton, Florida; Joseph Charles & Associates in Boca Raton, Florida; Barber & Bronson in Miami, Florida; Merrill Lynch in New York, New York; Rosenkrantz Lyon & Ross in New York, New York; Kimbridge & Company; and the David-Maxwell Company. He is a registered broker with the state of Florida.
According to his BrokerCheck report, Ken Daley has received one denied customer complaint and one unsatisfied tax lien.
In October 2016 a customer alleged Ken Daley, while employed at Dawson James Securities, executed excessive and unsuitable trades. The customer sought $65,000 in damages in the complaint, which was denied.
In 2013 the Internal Revenue Service filed a tax lien totaling $30,964 against Ken Daley. The lien remains outstanding.
If you or someone you know has lost money investing with Ken Daley, 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.