Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Albrecht (Albrecht), previously associated with Calton & Associates, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Albrecht recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on April 14, 2020.
Failure to conduct adequate Due Diligence, Negligence, Misrepresentation, Breach of Fiduciary Duty.