Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Norton (Norton), currently associated with Mcdonald Partners LLC, has at least one disclosable event. These events include one customer complaint, alleging that Norton 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 $99,000.00 on March 12, 2024.
Claimant alleges that RR recommended an unsuitable investment in an offering of corporate bonds in 2020 and that reasonable due diligence was not conducted prior to making the offering. Claimant further alleges RR did not disclose, and did not accurately disclose, all material facts in connection with Claimant’s investment in the offering, and that certain guarantees of performance were made.