Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roderick Day (Day), previously associated with Cabot Lodge Securities LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Day 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 $62,000.00 on September 15, 2020.
Client alleges money was misappropriated by the representative under the false pretenses of it being invested in an LLC.