Daniel Paul Burkott, of Windsor, Connecticut, a stockbroker and the Chief Compliance Officer of Voya Financial Advisors Inc., was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $38,500.00 in damages based upon allegations that Burkott failed to supervise certain representatives in connection with the sale of real estate securities during the time that Burkott was associated with Voya Financial Advisors Inc. FINRA Arbitration No. 23-00747 (February 8, 2024).
This is not the first time that Burkott has been referenced in a customer initiated investment related dispute concerning Burkott’s conduct in the securities industry. FINRA Public Disclosure shows that Burkott is also referenced in a customer initiated investment related FINRA securities arbitration claim that was settled for $6,000.00 in damages based upon allegations that Burkott failed to supervise certain representatives in connection with the sale of real estate securities when Burkott was associated with Voya Financial Advisors Inc. FINRA Arbitration No. 23-00718 (April 23, 2024).
Burkott was associated with Voya Financial Advisors Inc. in Windsor, Connecticut from July 25, 2016 to June 15, 2021. He was also associated with Cadaret, Grant Co. Inc. in Syracuse, New York; CUSO Financial Services, L.P. in San Diego, California; Next Financial Group Inc. in Houston, Texas; SCF Securities Inc. in San Diego, California; Sorrento Pacific Financial LLC in San Diego, California; and Western International Securities Inc. in Pasadena, California from August 26, 2021 to May 23, 2024.
Burkott has been associated with Cetera Advisors LLC, Cetera Financial Specialists LLC, Cetera Advisor Networks LLC, Avantax Investment Services Inc., and Cetera Investment Services LLC in Dallas, Texas since June 12, 2024.
