Securities Lawyers Blog
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)