Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Norris (Norris), currently associated with Fidelity Brokerage Services LLC, has at least one disclosable event. These events include one customer complaint, alleging that Norris 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 $17,019.00 on March 24, 2025.
The client alleged that in April 2022, the advisor informed her that if she distributed funds from her Q John Hancock annuity and transferred them to her Ameriprise IRA it would not be a taxable event; however, John Hancock reported this as income causing her to incur taxes and penalties.