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Thomas Daniels of Steward Partners Investment Solutions Fired for Allegations of Bad Conduct
Israels & Neuman is looking into claims against Thomas F. Daniels, who formerly was a representative with Steward Partners Investment Solutions. Steward Partners Investment Solutions terminated Thomas Daniels in February 2025.
Allegations Regarding the Termination
Daniels was fired by Steward Partners regarding allegations that he “did not obtain consent to trade in a customer’s account”, according to Daniels’ BrokerCheck disclosures. The alleged conduct involved OTC stocks (or over-the-counter, meaning that the stock was not listed on a common stock exchange) and listed equities.
Since then, Daniels has also been the subject of a customer complaint made in June 2025. The customer has alleged “poor account performance”, and the damages are allegedly over $5,000.
Background on Thomas Daniels
Thomas Daniels was licensed with Steward Partners Investment Solutions from July 2023 to February 2025. He previously was registered with Commonwealth Financial Network from 2005 to July 2023. He also operates Oswego Crest Financial Group in Lake Oswego, Oregon.
Can Steward Partners Investment Solutions Be Liable for Daniels’s Conduct?
Securities rules and regulations provide that securities broker-dealers must reasonably supervise the activities of their financial advisors. Firms that fail to do so could be responsible for investor losses.
We Help Investors Nationwide, Including in Oregon
We represent investors throughout the United States as well as Oregon, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud. Our firm has an office in Seattle and Vancouver, Washington, and we regularly represent investors in the Pacific Northwest. If you were a client of Thomas Daniels and believe your financial advisor acted improperly, you may be entitled to recover losses through FINRA arbitration.