DID DANA ROY SYDNEY CAUSE YOU INVESTMENT LOSSES?
About Dana Sydney of Equitable Advisors, LLC?
Dana Sydney (CRD #2996623) has been actively working in the securities industry since 1998. Currently registered with Equitable Advisors, LLC (CRD #6627) since February 6, 1998, Dana Sydney has a diverse registration background. They have passed three general industry/product exams and two multi-state securities law exams, including the General Securities Representative Examination (Series 7) and the Uniform Investment Adviser Law Examination (Series 65). Sydney is licensed to operate in 25 U.S. states and territories and is registered with one self-regulatory organization (SRO). Previous registrations include a tenure at The Equitable Life Assurance Society of the United States from February 1998 to January 2000.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Dana Sydney Customer Complaints and Reviews
- Customer Dispute:
- Count: 1
- Details:
- Date: Complaint received on March 22, 2024, and resolved by April 15, 2024.
- Allegations: A client alleged that their ex-wife and the financial professional (FP) signed the client’s name on a change of ownership form for a 529 Plan.
- Product Type: Mutual Fund
- Alleged Damages: $23,000
- Outcome: The complaint was denied after the firm concluded that the form was signed and notarized before it reached the FP’s office, and the FP’s involvement was limited to forwarding the notarized form to JP Morgan Chase, which processed the request.
Allegations Against Dana Sydney
- Customer Dispute Allegations:
- Incident: Alleged unauthorized signature on a change of ownership form for a 529 Plan.
- Alleged Involvement: The FP’s office staff forwarded the notarized form to JP Morgan Chase.
- Resolution: Complaint was denied, with no action taken against the FP after an investigation concluded the FP was not involved in the alleged unauthorized signing.
Dana Sydney Red Flags & Your Rights As An Investor
Of course, Dana Sydney did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Dana Sydney at Equitable Advisors, LLCon alert to review carefully the activity and performance of their accounts and question whether Dana Sydney has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equitable Advisors, LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Equitable Advisors, LLC Due To Dana Sydney
If you have questions about Equitable Advisors, LLC and/or Dana Sydney and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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