Securities Lawyers Blog
The law offices of Gana Weinstein LLP are currently investigating claims that Broker Robert Daly (Daly) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Daly was employed by Xtellus Capital Partners, Inc. at the time of the activity. If you have been a victim of Daly’s alleged misconduct our firm may be able to assist you in recovering funds.
FINRA BrokerCheck shows a final customer complaint on October 08, 2024.
Without admitting or denying the findings, Daly consented to the sanction and to the entry of findings that he refused to produce information and documents requested by FINRA during an investigation that originated from a regulatory tip it received related to possible undisclosed private securities transactions.
