Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Norton (Norton), currently associated with David Lerner Associates, INC., 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 pending customer complaint with a damage request of $500,000.00 on March 07, 2024.
Gabelli purchase – unsuitability, misrepresentation and omissions\, Allegation period: December 4, 2018, the date of the first purchase of SOAEX to March 7, 2024 the date the SOC was received.