Daniel Mancuso

Date:

February 7, 2014

Type of alert:

FINRA AWC  

Former Wells Fargo Advisors, LLC and current JHS Capital Advisors, LLC broker Daniel J. Mancuso (CRD# 2519423) of Portland, Orgeon was recently censured and fined ten thousand dollars ($10,000) for violating FINRA rules. On February 6, 2014, Mancuso entered into a Letter of Acceptance, Waiver and Consent (No. 2012031643901) to resolve allegations made by FINRA that while employed by Wells Fargo Advisors he “exercised discretion in the accounts of three customers with regard to the customers’ syndicate trading without first obtaining the customers’ written authorization that was accepted by the firm.” FINRA further alleged that “Mancuso improperly exercised discretion to purchase shares for the customers in approximately 43 syndicate trades without first obtaining customer indications of interest.” Mancuso’s actions were alleged by FINRA to have violated NASD Conduct Rule 2510(b) and FINRA Rule 2010.

Contact Us If You Believe You Have a Case

"*" indicates required fields

Name*

Please note: We are unable to take cases with losses of less than $50,000.

This field is for validation purposes and should be left unchanged.

This site contains attorney advertising. The attorneys at ChapmanAlbin are licensed to practice law in Ohio and Michigan. Any reference to past cases or successes made herein should not be construed as a guarantee of any future outcome. Each client and each client’s case is unique, and no result or outcome is or can ever be guaranteed. The information provided in this website is offered for general information purposes only; it is not offered as and does not constitute legal advice in any way. // Disclaimer