Last Updated: February 2025, Owensboro, KY
Daniel Deno Investigation Summary
Here’s what you need to know about Owensboro, KY stockbroker Daniel Deno:
- Name: Mr. Daniel Ray Deno
- Current Employer: Not currently registered
- Prior Employers: LPL Financial LLC, Fifth Third Securities, Inc.
- Function: Stock Broker/ Financial Advisor
- Aliases: Daniel Deno
- Primary Location: Owensboro, KY
- CRD #: 6674802
- Can Daniel Deno be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: Yes (Permanent Bar)
- Criminal Charges: Pending felony charges for fraud and theft
- Regulatory Action: Barred by FINRA due to refusal to cooperate in regulatory investigation
If you’ve sustained damages from Mr. Deno, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Daniel Deno As Your Stockbroker?
FINRA has permanently barred Daniel Deno from acting as a broker or associating with brokerage firms after he refused to provide documents, information, and testimony in connection with an investigation into allegations by a customer of felony fraud and theft.
Key Case Details:
- Date of FINRA Disciplinary Action: January 28, 2025
- Case Number: 2024084191101
- Sanction: Permanent Bar from industry
- Employing Firm at the Time of Activity: LPL Financial LLC
- Regulatory Action Basis: Failure to comply with FINRA’s requests for information and testimony
In a separate pending criminal case, Daniel Deno faces felony fraud and theft charges in Perry Circuit Court (Tell City, Indiana) under case number 62C01-2411-F6-000964. A pretrial conference was scheduled for January 29, 2025.
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Allegations of Broker Misconduct Against Daniel Deno
Customers and regulators have alleged the following wrongdoing against Daniel Deno in connection with his handling of investment accounts:
- Fraud and Theft Allegations – Deno is facing pending felony criminal charges for fraud and theft in Perry Circuit Court, Indiana. These allegations, if proven, would be serious violations under FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade) and FINRA Rule 2150 (Improper Use of Customer Funds and Securities).
- Refusal to Cooperate with FINRA Investigation – Deno failed to provide requested documents, information, and testimony in a FINRA investigation. As a result, FINRA permanently barred him from acting as a broker, under FINRA Rule 8210 (Provision of Information and Testimony).
Recover Your Investment Losses Now With Rex Securities Law
Investigation of LPL Financial and LPL Brokers-Lawsuits, Arbitrations & Customer Disputes
If you have suffered investment losses in an account handled by Daniel Ray Deno, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.