Daniel Schmid
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/01/2026: In July 2024, Schmid borrowed $25,000 from a customer, in violation of firm policies. During FINRA’s investigation in 2025 and 2026, Schmid provided false written responses and withheld documents responsive to Rule 8210 requests and provided false testimony to conceal the loan and a related business venture. As a result, Schmid violated FINRA Rules 3240, 8210, and 2010. For these violations, Schmid is barred in all capacities.
Reference 2024083956101data-portal.finra.orgfinra.org
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