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FINRA Broker Allegations

Allegations against: Daniel Lawrence Pimental

Allegation type: Customer Dispute

Allegation status: Award / Judgment

The allegations read: In the amended statement of claim, claimants asserted the following causes of action: churning; unsuitability; unauthorized trading; negligent supervision; breach of fiduciary duty; negligence; material misrepresentations and omissions; fraud; breach of contract; violations of federal securities laws by unsuitable and unauthorized trading, and making materially false statements; violations of state blue sky laws and massachusetts general laws, chapter 93a; and violations of finra, nyse, nasd and sec regulations. The causes of action relate to unspecified securities.

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