Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Naugle (Naugle), previously associated with Cadaret, Grant & Co., INC., has at least one disclosable event. These events include one customer complaint, alleging that Naugle recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on July 06, 2020.
Claimant alleges that he was misled into retiring early and taking his pension in a lump sum and that the investments made in his managed accounts, opened in November 2014, were not in accordance with his investment objectives.