Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Catone (Catone), previously associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Catone recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on March 29, 2024.
Plaintiff alleges that from 2006 through 2008, the financial advisor made unsuitable recommendations.