Last Updated: July 2025 (Wellington, FL)
Dan Pikula Investigation Summary
Here’s what you need to know about Wellington, FL, stockbroker Daniel Pikula:
- Name: Mr. Daniel Simon Pikula
- Current Employer: Emerson Equity LLC, Money Manager Inc. (RIA)
- DBA: Florida Investment Exchange, WSU Pullman Development Consultant
- Previous Firms: Revere Securities, Newbridge Securities
- Function: Stock Broker/ Financial Advisor/Registered Investment Advisor
- Aliases: Dan Pikula
- Primary Location: Wellington, Florida
- CRD 2563165
- Can Dan Pikula be sued in FINRA arbitration: Yes
- Sanctioned by FINRA & Florida Securities Regulator: Yes
- Highest Settlement or Award: $150,000
- Three Pending Customer Disputes Seek Damages in excess of $1.6 million
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Dan Pikula As Your Stockbroker?
In 2014 FINRA suspended and fined Dan Pikula to resolve allegations that he violated FINRA Rule 2010 and NASD Rule 2510(B) when he exercised discretion prior to obtaining firm discretionary applications approved.
In 2017 the State of Florida Office of Financial Regulation fined Pikula for exercising discretion in customer accounts without written authorization.
Pikula discloses 5 prior customer disputes that have been resolved and three pending cases, including:
In 6/2025 three customers filed cases seeking damages of $1.5 million, $100,000 and no specific damages are stated in the third case. Allegations include gross negligence, breach of fiduciary duty, violation of the Best Interest Rule, and violations of the Florida Securities Act. These cases are currently pending.
Two customers of Newbridge Securities settled cases involving Dan Pikula. A total of about $41,000 was paid to resolve these two cases which alleged unsuitability and misrepresentations.
In 2024, a customer of prior employer Emerson Equity was paid $150,000 to settle a case alleging negligence and breach of fiduciary duty.
Allegations of Broker Misconduct Against Dan Pikula
Customers of Dan Pikula have alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendations
- Negligence
- Omission of Facts
- Breach of Responsibility
- Violations of Best Interest Rule
- Violations of Florida Securities Act
FINRA Rule 2111- suitability -Regulation Best Interest
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.
Recover Your Investment Losses Now With Rex Securities Law
See this for information on our other investigations of Emerson Equity stockbrokers.
If you have suffered investment losses in an account handled by Dan Pikula , contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.