Customer Alleged Daniel Sickles Recommended Unsuitable Investments

daniel sicklesPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 31, 2018 indicate that Arizona-based Cetera Advisors broker/adviser Daniel Sickles is involved in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Sickles (CRD# 1581294).

Daniel Sickles has spent 31 years in the securities industry and has been registered with Cetera Advisor Networks in Lake Havasu City, Arizona since 2011. Previous registrations include LPL Financial in Lake Havasu City, Arizona (2009-2011); Mutual Service Corporation in Lake Havasu City, Arizona (1999-2009); and Titan/Value Equities Group in Irvine, California (1986-1999). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 9, 1987; Series 7 (General Securities Representative Examination), which he obtained on December 20, 1986; and Series 24 (General Securities Principal Examination), which he obtained on May 18, 2002. He is a registered broker and investment adviser with 24 US states and territories: Arizona, California, Colorado, Florida, Idaho, Illinois, Indiana, Iowa, Kentucky, Michigan, Missouri, Montana, Nevada, New Mexico, New York, North Carolina, Ohio, Oregon, South Dakota, Tennessee, Texas, Utah, Washington, and Wisconsin.

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

In November 2017 a customer alleged Daniel Sickles, while employed at LPL Financial, recommended unsuitable investments, misrepresented material facts, acted negligently, breached his fiduciary duty, and committed elder financial abuse. The customer is seeking $750,000 in damages in the pending complaint.

In 2003 a customer alleged Daniel Sickles, while employed at Mutual Service Corporation, recommended an unsuitable variable annuity and churned variable annuity policies in their account. The customer sought $233,245 in damages in the complaint, which was denied.

If you or someone you know has lost money investing with Daniel Sickles, 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.