Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Philip Noto (Noto), previously associated with First Standard Financial Company LLC, has at least one disclosable event. These events include one customer complaint, alleging that Noto 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 $5,000,000.00 on July 24, 2020.
Noto was named in a customer complaint that asserted the following causes of action: fraud; breach of fiduciary duties; negligence; and aiding and abetting.