Daniel Howard Glick, formerly with Transamerica Financial Advisors, Inc., was barred from the securities industry by the Financial Industry Regulatory Authority (FINRA) in connection with claims Glick forged clients’ signature on documents in order to gain access to his clients’ assets.
Glick forged clients’ signatures on letters to a bank in order to gain access to, and misappropriate, their assets, according to factual findings made by the Certified Financial Planner Board.
Glick was under investigation by FINRA for the forgery allegations and he informed FINRA that he would not comply with FINRA’s investigation.
Glick consented to his banishment from the securities industry without denying or admitting any factual allegations.
The Peiffer Wolf securities attorneys often represent investors who lose money as a result of Ponzi schemes, investment fraud, or stockbroker misconduct. They are currently investigating the possibility of assisting victims with the recovery of their losses. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.
Investors who believe they lost money as a result of investment fraud or misconduct may contact the securities lawyers at Peiffer Wolf, Jason Kane or Joe Peiffer, for a free, no-obligation evaluation of their recovery options, at 585-310-5140.