{"id":9352,"date":"2020-09-15T10:52:42","date_gmt":"2020-09-15T14:52:42","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=9352"},"modified":"2020-09-15T10:53:07","modified_gmt":"2020-09-15T14:53:07","slug":"dain-stokes-barred-after-misappropriation-allegations-and-sec-actions","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/dain-stokes-barred-after-misappropriation-allegations-and-sec-actions\/","title":{"rendered":"Dain Stokes Barred After Misappropriation Allegations And SEC Actions"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-9355 size-full\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2020\/09\/DainStookes.jpg\" alt=\"Dain Stokes (CRD: #2960801) is a former registered broker and investment advisor whose last known employer was LPL Financial LLC (CRD#:6413) of Bedford, NH. His previous employers include Edward Jones (CRD#:250) of Manchester, NH, American Express Financial Advisors Inc. (CRD#:6363) and IDS Life Insurance Company (CRD#:6321), both of Minneapolis, MN. He has been in the industry since 1998. On 3\/18\/2020, a client filed a dispute alleging \u201cmisappropriation of funds,\u201d and requesting damages of $375,000. This claim was settled, but no additional information is available.\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2020\/09\/DainStookes.jpg 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2020\/09\/DainStookes-180x120.jpg 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>Dain Stokes (CRD: <a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/2960801\" target=\"_blank\">#2960801<\/a>) is a former registered broker and investment advisor whose last known employer was LPL Financial LLC (CRD#:6413) of Bedford, NH. His previous employers include Edward Jones (CRD#:250) of Manchester, NH, American Express Financial Advisors Inc. (CRD#:6363) and IDS Life Insurance Company (CRD#:6321), both of Minneapolis, MN. He has been in the industry since 1998. <a href=\"https:\/\/www.silverlaw.com\/blog\/dain-stokes-barred-after-misappropriation-allegations-and-sec-actions\/#more-9352\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Dain Stokes (CRD: #2960801) is a former registered broker and investment advisor whose last known employer was LPL Financial LLC (CRD#:6413) of Bedford, NH. His previous employers include Edward Jones (CRD#:250) of Manchester, NH, American Express Financial Advisors Inc. (CRD#:6363) and IDS Life Insurance Company (CRD#:6321), both of Minneapolis, MN. He has been in the [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[583,580],"tags":[],"class_list":["post-9352","post","type-post","status-publish","format-standard","hentry","category-sec-actions","category-stockbroker-misconduct"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Dain Stokes Barred After Misappropriation Allegations And SEC Actions &#8212;<\/title>\n<meta name=\"description\" content=\"Dain Stokes is a former registered broker and investment advisor whose last known employer was LPL Financial LLC of Bedford, NH.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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