Articles Tagged with & partners

There are Recent Customer Complaints with Broker Patrick Callaghan in Firm & partners

July 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Callaghan (Callaghan), currently associated with & partners, has at least one disclosable event. These events include one customer complaint, alleging that Callaghan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on March 27, 2020.

Client complains that transactions in a discretionary account should not have happened without his knowledge. (3/19/2020-3/27/2020)

There are Recent Customer Complaints with Broker Thomas Wrich in Firm & partners

May 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Wrich (Wrich), currently associated with & partners, has at least one disclosable event. These events include one customer complaint, alleging that Wrich recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on October 13, 2024.

Arbitration: Claimant alleges that beginning in 2001, the advisory fees charged were misrepresented and excessive.\, Complaint: Client complains that the advisory fees charged have been higher than what she and the Financial Advisor agreed upon. (1/1/2003-6/7/2024)