FINRA Bars Wisconsin Broker Daniel Flores

Daniel John Flores (CRD #2908027) is a previously registered broker and investment advisor whose last employer was Woodbury Financial Services, Inc. (CRD #421) of Appleton, WI. His previous employers include Princor Financial Services Corporation (CRD #1137) of Neenah, WI, Gunnallen Financial, Inc (CRD #17609) and Sii Investments, Inc. (CRD #2225), both of Appleton. No current employment information is available. He has been in the industry since 1997.

Flores has three disclosures in his record, all from 2018. On 4/16/2018, he was discharged from Woodbury for” engaging in an unapproved financial transaction with a client.”  No additional information is available for this case.

On 7/27/2018, FINRA reported that Flores failed to respond for a request for information. Two letters were sent to Flores on 7/27/2018, and 8/20/2018, respectively, with no response. On October 30, 2018, FINRA barred Flores indefinitely and in all capacities from any association with a FINRA member.

A customer dispute filed on 5/25/2018 alleges that Flores “engaged in unauthorized and excessive trading from 2015 to 2018.” The client requests damages of $8,476.69, and the case is currently “pending.” There is no indication that this this dispute, or his discharge from Woodbury, is the specific cause of the FINRA action.

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