Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Naughton (Naughton), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Naughton 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 $180,000.00 on December 23, 2020.
Alleges that his financial professional recommended that he invest in a reit which was unsuitable for his investment portfolio. Activity period: 1/2014 to 12/2020.