Daniel Diaz: FINRA Sanctions Ex-Raymond James Advisor

Miami, Florida financial advisor Daniel Diaz (CRD# 1715827) was recently sanctioned by FINRA in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was last registered as a broker with Raymond James & Associates.

A Letter of Acceptance, Waiver, and Consent (No. 2025085419901) describes FINRA’s disciplinary action against Mr. Diaz. Filed in September 2026, it states that he failed to appear for testimony requested by FINRA as part of its investigation into his conduct. It notes specifically that FINRA was conducting an investigation into his “potential involvement with excessive commissions related to certain securities transactions.” FINRA found that his refusal violated Rule 8210. As a result of these findings, FINRA barred him from associating with any member firm in any capacity.

Under FINRA Rule 8210, FINRA is empowered to require persons under its jurisdiction to provide information and documents connected to matters under its investigation. The rule also stipulates that such persons may not refuse to provide documents and information requested by FINRA. Violations of Rule 8210 are considered violations of Rule 2010, which requires persons associated with FINRA to observe high standards of commercial honor and just and equitable principles of trade in the course of their business. Brokers who violate these rules may be subject to disciplinary action.

According to the Financial Industry Regulatory Authority, Daniel Diaz holds 37 years of securities industry experience. Most recently based in Miami, Florida, he was registered as a broker with Raymond James & Associates from May until September 2025. His past registrations include Merrill Lynch and Kidder Peabody. His credentials include the passage of three securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the General Securities Representative Examination, or Series 7; and the Uniform Securities Agent State Law Examination, or Series 63. (Information current as of September 14, 2026.)

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