The client alleged that Naughton’s recommendation that he invest in an REIT was unsuitable for his portfolio.
Patrick William Naughton (CRD#: 2180840) is registered as a broker and investment adviser with LPL Financial, where he has been employed since 2011. Previously, Naughton was registered as a broker and investment adviser with UVest Financial Services Group from 2007 until 2011.
Naughton has two disclosures on his BrokerCheck report.
December 2020 Customer Dispute
- Status: Pending
- Allegations: 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.
- Damage Amount Requested: $180,000.00
May 2008 Customer Dispute
- Status: Settled
- Allegations: Client alleges that RR made unsuitable mutual fund recommendations.
- Damage Amount Requested: $14,000.00
- Settlement Amount: $8,507.20
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