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.

• View Daniels’ BrokerCheck Report

Contact Us for a Free Case Evaluation

Call us today at (720) 599-3505 or (206) 795-5798 or fill out our contact form to learn more about your rights.

Did you invest with financial advisor Gwendolyn Hayes in Lake Oswego, Oregon? Israels & Neuman is looking into claims made by FINRA against this advisor, who was a representative of Edward Jones. In January 2025, Hayes was kicked out of the securities brokerage industry by FINRA when she failed to cooperate with a FINRA investigation.

She was terminated by Edward Jones in April 2024, which led to a FINRA investigation. FINRA was investigating Gwendolyn Hayes regarding allegations that she changed customers’ investment objectives without their authority, mismarked trades as being unsolicited, and accepted trading instructions from unauthorized individuals.

Ms. Hayes was registered with Edward Jones from 2010 to April 2024 and worked in Lake Oswego, Oregon. She also worked for Ameriprise from May 2024 to August 2024.

Israels & Neuman represents investors in all 50 states including throughout the Pacific Northwest. We have offices in Seattle; Vancouver, Washington; Grand Rapids; Ann Arbor and Phoenix. We have previously represented investors against Edward Jones as well.

FINRA’s AWC Regarding Gwendolyn Hayes can be found HERE

Hayes’s BrokerCheck Report can be found HERE

If you lost money with Gwendolyn Hayes, or Edward Jones, contact the law firm of ISRAELS & NEUMAN at (616) 280-4303 or (206) 795-5798 for a Free evaluation of your case.