{"id":6524,"date":"2018-09-12T14:24:38","date_gmt":"2018-09-12T14:24:38","guid":{"rendered":"http:\/\/www.investorlawyers.com\/?p=6524"},"modified":"2018-09-12T14:24:38","modified_gmt":"2018-09-12T14:24:38","slug":"another-texas-based-wells-fargo-broker-is-barred-by-finra","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/another-texas-based-wells-fargo-broker-is-barred-by-finra\/","title":{"rendered":"Another Texas-Based Wells Fargo Broker is Barred by FINRA"},"content":{"rendered":"<p>\t\t\t\tThe Financial Industry Regulatory Authority (FINRA) has barred Wells Fargo (WFC) broker Edward O. Daniel, after he failed to participate in a probe into allegations that he made <a href=\"https:\/\/www.investorlawyers.com\/investor-claims\/broker-misconduct\/unsuitability\/\">unsuitable investments <\/a>for one client. Daniel, a Texas-based broker, was with Wells Fargo Advisers for seven years before he stepped down in September 2016. He was a longtime broker of 41 years.<\/p>\n<p>Soon after Daniel resignation two years ago, Wells Fargo disclosed that a customer had filed an arbitration complaint accusing him of making unsuitable investments over a several-year period. The dispute was resolved for $225K. His BrokerCheck record documents that Daniel has been named in eight disclosures, all involving complaints by customers.<\/p>\n<p>Now, FINRA is barring him because he would not cooperate in the self-regulatory authority\u2019s investigation into the unsuitable investment allegations.<\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.investorlawyers.com\/blog\/another-texas-based-wells-fargo-broker-is-barred-by-finra\/\"  title=\"Continue Reading Another Texas-Based Wells Fargo Broker is Barred by FINRA\" class=\"more-link\">Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>The Financial Industry Regulatory Authority (FINRA) has barred Wells Fargo (WFC) broker Edward O. Daniel, after he failed to participate in a probe into allegations that he made unsuitable investments for one client. Daniel, a Texas-based broker, was with Wells Fargo Advisers for seven years before he stepped down in September 2016. He was a [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":443,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3752,3739,4049,3750,3836],"tags":[3146,2762],"class_list":["post-6524","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-financial-firms","category-finra","category-industry-bars","category-texas-securities-fraud","category-wells-fargo","tag-edward-o-daniel","tag-unsuitable-investments"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Texas-Based Wells Fargo Broker Barred &#8212; Investor Lawyers Blog<\/title>\n<meta name=\"description\" content=\"FINRA has barred another Texas Based Wells Fargo broker after he failed to participate in a probe into unsuitable investments allegations.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.investorlawyers.com\/blog\/another-texas-based-wells-fargo-broker-is-barred-by-finra\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Texas-Based Wells Fargo Broker Barred &#8212; Investor Lawyers Blog\" \/>\n<meta name=\"twitter:description\" content=\"FINRA has barred another Texas Based Wells Fargo broker after he failed to participate in a probe into unsuitable investments allegations.\" \/>\n<meta name=\"twitter:image\" content=\"https:\/\/www.investorlawyers.com\/blog\/wp-content\/uploads\/2018\/04\/registration_violation-bg.jpg\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Shepherd Smith Edwards &amp; Kantas, LLP\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"2 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"Texas-Based Wells Fargo Broker Barred &#8212; Investor Lawyers Blog","description":"FINRA has barred another Texas Based Wells Fargo broker after he failed to participate in a probe into unsuitable investments allegations.","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/www.investorlawyers.com\/blog\/another-texas-based-wells-fargo-broker-is-barred-by-finra\/","twitter_card":"summary_large_image","twitter_title":"Texas-Based Wells Fargo Broker Barred &#8212; Investor Lawyers Blog","twitter_description":"FINRA has barred another Texas Based Wells Fargo broker after he failed to participate in a probe into unsuitable investments allegations.","twitter_image":"https:\/\/www.investorlawyers.com\/blog\/wp-content\/uploads\/2018\/04\/registration_violation-bg.jpg","twitter_misc":{"Written by":"Shepherd Smith Edwards &amp; Kantas, LLP","Est. reading time":"2 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"Article","@id":"https:\/\/www.investorlawyers.com\/blog\/another-texas-based-wells-fargo-broker-is-barred-by-finra\/#article","isPartOf":{"@id":"https:\/\/www.investorlawyers.com\/blog\/another-texas-based-wells-fargo-broker-is-barred-by-finra\/"},"author":{"name":"Shepherd Smith Edwards &amp; Kantas, LLP","@id":"https:\/\/www.investorlawyers.com\/blog\/#\/schema\/person\/e0240e0754684b69f7d6a7de1b9f1431"},"headline":"Another Texas-Based Wells Fargo Broker is Barred by FINRA","datePublished":"2018-09-12T14:24:38+00:00","mainEntityOfPage":{"@id":"https:\/\/www.investorlawyers.com\/blog\/another-texas-based-wells-fargo-broker-is-barred-by-finra\/"},"wordCount":409,"image":{"@id":"https:\/\/www.investorlawyers.com\/blog\/another-texas-based-wells-fargo-broker-is-barred-by-finra\/#primaryimage"},"thumbnailUrl":"https:\/\/www.investorlawyers.com\/blog\/wp-content\/uploads\/2018\/04\/registration_violation-bg.jpg","keywords":["Edward O. 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