Ex-Broker from Transamerica Financial Barred from Securities Industry Amidst Forgery Allegations

Posted on July 25th, 2014 at 9:13 AM

From the Desk of Jim Eccleston at Eccleston Law Offices:

Daniel Howard Glick, a former broker from Transamerica Financial Advisors, Inc., was barred from the securities industry by FINRA for allegedly forging clients’ signatures on documents.

Glick forged clients’ signatures on letters to a bank in order to gain access to, and misappropriate, their assets, according to factual findings made by the Certified Financial Planner Board.

Glick was under investigation by FINRA for the forgery allegations and he informed FINRA that he would not comply with FINRA’s investigation.

Glick consented to his banishment from the securities industry without denying or admitting any factual allegations.

The attorneys of Eccleston Law Offices represent investors and advisers nationwide in securities and employment matters. Our attorneys draw on a combined experience of nearly 50 years in delivering the highest quality legal services.

Related Attorneys: James J. Eccleston


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