| Read Time: 2 minutes | Securities America Complaints |


Daniel Claric Of Securities America, Inc. And Formerly With KMS Financial Services, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Daniel Claric of Securities America, Inc.?

Daniel Claric (CRD #4797769) who is currently registered with Securities America, Inc. and located in Eugene, Oregon is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Securities America, Inc., Daniel Claric was associated with KMS Financial Services, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Daniel Claric Customer Complaints

Daniel Claric has been the subject of 2 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. Both of Daniel Claric’s customer complaints were settled in favor of investors.

Allegations Against Daniel Claric

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Unauthorized distributions from client’s account by third-party.
  • Unauthorized sale of securities from a trust accounts that created tax liabilities.

Daniel Claric Red Flags & Your Rights As An Investor

Of course, Daniel Claric did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Daniel Claric at Securities America, Inc. and KMS Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Daniel Claric has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Securities America, Inc. and KMS Financial Services, Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim To Recover Your Investment Losses At Securities America, Inc. Due To Daniel Claric

If you have questions about Securities America, Inc., KMS Financial Services, Inc. and/or Daniel Claric and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Author Photo

Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

Rate this Post

1 Star2 Stars3 Stars4 Stars5 Stars