Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Defano (Defano), currently associated with LPL Enterprise, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Defano recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $9,662.00 on April 27, 2022.
Client was mislead about the dollar amount of the premium payments and customer is also alleging failure to disclose charges, expenses and fees.