Broker Dain Stokes Allegedly Barred by FINRA and the SEC

Previously registered broker Dain Stokes (also knows as Dain Farrell Stokes) has allegedly been barred by FINRA and the Securities and Exchange Commission (“SEC”) according to Stokes’ FINRA Brokercheck page, under review by attorney Alan Rosca.

Investor rights attorneys Alan Rosca and his colleagues at the Rosca Scarlato LLC Law firm are investigating conduct related to broker Dain Stokes’ alleged bar by FINRA and the SEC. Investors who are concerned about their investments with Dain Stokes may to contact attorney Alan Rosca or his colleagues for a free case evaluation and discussion of potential options, or to provide any useful information, toll free at 888-998-0530, via email at arosca@rscounsel.law, or through the contact form on this webpage.

Concerned about investments with

Broker

Concerned about investments with

Broker

Potential Options for Dain Stokes Investors

The Rosca Scarlato LLC law firm represents investors who lose money as a result of investment-related fraud or misconduct and is currently investigating conduct related to the broker Dain Farrell Stokes alleged bar from FINRA and the SEC.

The firm takes most cases of this type on a contingency fee basis and advances the case costs, and only gets paid for its fees and costs out of money recovered for clients. Attorney Alan Rosca, a securities lawyer and adjunct professor of securities regulation, has represented thousands of victimized investors in cases ranging from arbitrations to class actions.

Investors concerned they lost money with broker Dain Stokes may contact attorney Alan Rosca for a free case evaluation, toll free at 888-998-0530, via email at arosca@rscounsel.law, or fill out the contact form on this webpage.

DISCLAIMER

In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow matters about which we report, and/or to publish subsequent updates regarding various developments that may occur in such matters. Readers are encouraged to conduct their own research regarding any such matters and any developments that may or may not have occurred in such matters. Also, the Brokercheck report linked to some of our blogs is the up-to-date version as of the date of accessing by the reader. The information in our blogs is current as of the date of the drafting of the blog, and given that sometimes certain past complaints may no longer be listed in newer Brokercheck reports, some of the events referenced in some of our blogs may later on be removed from newer Brokercheck reports. Visitors may check the most recent version of each brokercheck report at www.finra.org, and may contact FINRA for the earlier version of the Brokercheck report upon which various blogs may be based.

If you believe you lost money as a result of investment-related fraud or misconduct, please contact our law firm for a free, no-obligation evaluation of your recovery options.

How to contact us?

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