Daniel Reid Horowitz of New York, New York, a stockbroker registered with Wells Fargo Clearing Services LLC, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested up to $1,000,000.00 in damages based upon allegations that Horowitz made the unsuitable investment recommendation of certain “stocks” during the period that Horowitz was associated with Wells Fargo Clearing Services LLC. FINRA Arbitration No. 23-03370 (November 24, 2023).
This is not the first time that Horowitz has been referenced in a customer initiated investment related dispute concerning Horowitz’s conduct in the securities industry. FINRA Public Disclosure shows that Horowitz is also referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer requested up to $5,000,000.00 in damages based upon allegations that Horowitz made unsuitable investment recommendations during the time that Horowitz was associated with Wells Fargo Clearing Services LLC. FINRA Arbitration No. 23-02430 (September 8, 2023).
Horowitz has been associated with Wells Fargo Clearing Services LLC in New York, New York since April 1, 2016.
