Daniel Pugel was a Washington based securities broker. He worked in the securities industry for eighteen years. During his career, he was registered with just two different securities firms. They are Morgan Stanley DW (1998-2002) and LPL Financial (2002-2017). He is no longer working as a registered securities broker in any fashion.
Daniel Pugel’s publicly available FINRA BrokerCheck report shows that he has received multiple customer complaints over the course of his career.
In June 2004, a customer alleged that Pugel invested in unsuitable mutual funds, committed fraud, and breached his fiduciary duty. This case went to arbitration where the customer was awarded $95,953 in damages.
In March 2016, a customer alleged unsuitability, breach of fiduciary duty, and violation of Blue Sky laws. This case was settled for $125,000 in damages.
Oakes & Fosher dedicates its entire legal practice to helping investors across the nation. If you, or someone you know, have lost money investing with Daniel Pugel, please contact Oakes & Fosher for a free and private consultation.