Articles Tagged with Daniel Deno

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Deno (Deno), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one tax lien, alleging that Deno recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on January 28, 2025.

Without admitting or denying the findings, Deno consented to the sanction and to the entry of findings that he refused to provide documents and information and to appear for on-the-record testimony requested by FINRA in connection with its investigation into allegations that he had engaged in felony fraud and theft.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Deno (Deno), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one tax lien, alleging that Deno recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on January 28, 2025.

Without admitting or denying the findings, Deno consented to the sanction and to the entry of findings that he refused to provide documents and information and to appear for on-the-record testimony requested by FINRA in connection with its investigation into allegations that he had engaged in felony fraud and theft.