Tag Archives: Daniel Edward Pugel

Financial Advocates Broker Terminated For Bad Structured Product Sales

November 28, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Daniel Edward Pugel of Seattle, Washington, an advisor formerly registered with Financial Advocates Investment Management, was terminated on March 20, 2017, based upon allegations that he violated Financial Industry Regulatory Authority (FINRA) suitability standards in the course of effecting structured notes products for customers. FINRA Public Disclosure reveals that Pugel is the subject of three […]

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