Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lawrence Napolitano (Napolitano), currently associated with Independent Financial Group, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Napolitano recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on April 08, 2023.
Various and non-various breach of fiduciary duty.