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FINRA Broker Allegations

Allegations against: Richard Alan Daniels

Allegation type: Civil

Allegation status: Final

The allegations read: Sec litigation release nd 78-148 lr-8481: sec civil action filed against defendant alleges violating sections 5(a) and 5(c) of the securities act and section 10(b) of the exchange act and rule 10b-5 thereunder; daniels wilfully aided and abetted violations of sections 5(a) and 5(c) of the securities act and sections 15(c)(3) and 17(a) of the exchange act and rules 15c3-1, 17a-3, 17a-5 and 17a-11 thereunder; and wilfully violated and wilfully aided and abetted violations of section 17(a) of the securities act and section 10(b) of the exchange act and rule 10b-5 thereunder.

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