Last Updated: October 2023 (Houston, Texas)
Daniel Vickery Investigation Summary
Here’s what you need to know about Houston, TX, stockbroker Daniel Vickery:
- Name: Mr. Daniel Wayne Vickery
- Current Employer: USCA Securities, U.S. Capital Wealth Advisors (RIA)
- Previous Firms: UBS Financial Services, Morgan Stanley
- Function: Stock Broker/ Financial Advisor/Registered Investment Advisors
- Aliases: Danny Vickery
- Primary Location: Houston, Texas
- CRD 4287245
- Can Danny Vickery be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Highest Settlement : $200,000
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Daniel Vickery As Your Stockbroker?
A customer of USCA Securities was paid $200,000 in 8/2020 to settle a customer suit alleging that Danny Vickery made an unsuitable recommendation to invest in a particular security.
Allegations of Broker Misconduct Against Daniel Vickery
A customer of Danny Vickery alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendation to invest in a particular security
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
If you have suffered investment losses in an account handled by Danny Vickery, contact us for a complimentary consultation with an experience 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.
