Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lori Farley (Farley), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Farley 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 $25,000.00 on January 24, 2024.
Plaintiff alleges the registered representative solicited her investment in crypto currency options through a third party, resulting in loss of principal, and misrepresented material facts related to the transaction.