Articles Tagged with Chula Vista California FINRA Investigation Attorney

Marco Daniel, a registered representative with the Chula Vista, California branch of PFS Investments, consented to, but did not admit to or deny, the sanction and the entry of the Financial Industry Regulatory Authority’s (FINRA) findings that he borrowed money from a customer, failed to disclose his outside business activity, and falsely reported in a firm questionnaire his involvement in this misconduct.

According to FINRA, Marco Antonio Daniel (aka Tony Daniel), of Chula Vista, California, borrowed a total of $19,015 from a customer and did not repay the loans until the customer had complained to the firm. Mr. Daniel also failed to disclose the loans or to receive the firm’s approval. Further, he failed to provide notice to his firm that he had engaged in outside business activity involving the use of the borrowed money. Continue Reading