Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Wayne Golightly (Golightly), previously associated with Pinnacle Investments, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Golightly 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 $80,000.00 on April 17, 2026.
Customer alleges he was solicited to transfer assets to the firm, then was recommended speculative biotech securities. As the positions declined, he alleges firm representatives repeatedly told him to continue holding rather than sell. Claims include unsuitable recommendations, overconcentration, misrepresentations/omissions, negligence, breach of fiduciary duty, breach of contract, and failure to supervise.