Former JP Morgan Financial Advisor, Daniel Soliman, Barred By FINRA For Failing To Participate In Investigation Of Trading Activity In Customer Accounts
Daniel Soliman was a Financial Advisor at JP Morgan Securities in New York. Daniel Soliman has been in the securities industry since 2012 and previously worked at Traderfield Securities and Legend Securities. Daniel Soliman also worked for three brokerage firms that have been expelled from the securities industry by FINRA.
According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in June 2019, FINRA sanctioned Daniel Soliman, barring him from the securities industry for failing to “appear and provide FINRA on-the-record testimony as requested in connection with its investigation into his trading in customers’ accounts to determine whether he was engaged in conduct that violated federal securities laws or regulations or FINRA rules.”
For a copy of the FINRA sanction, click https://www.finra.org/sites/default/files/fda_documents/2018059045002%20Daniel%20M.%20Soliman%20CRD%206053300%20AWC%20va%20.pdf
For a copy of Daniel Soliman’s CRD, click https://brokercheck.finra.org/individual/summary/6053300#disclosuresSection
Financial advisors have a legal and regulatory obligation to recommend only suitable investments that are appropriate for their clients’ needs and objectives. Their employing brokerage firm has a legal and regulatory obligation to supervise the Financial Advisors’ sales practices and dealings with clients. To the extent any of these duties are breached, the customer may be entitled to a recovery of his or her investment losses.
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