There are options for clients of LPL Financial LLC broker Daniel Catone (CRD# 4469467) who is accused of unsuitable investment recommendations.
He has been registered with LPL Financial LLC in Fort Bragg, California, since 2012, Arimathea in Powell, Wyoming, since 2024, Golden State Equity Partners, LLC in South Coast Metro, California, since 2022, Golden State Asset Management in Fort Bragg, California, since 2022, Redwood Investment Group, Inc. in Fort Bragg, California and Powell, Wyoming, since 2023, and Golden State Wealth Management, LLC in South Coast Metro, California, since 2013. He was registered with Golden State Asset Management in Santa Ana, California, from 2020 to 2022, LPL Financial LLC in Powell, Wyoming, from July to December 2016, Raymond James Financial Services Advisors, Inc. in Fort Bragg, California, from 2009 to 2012, and Wells Fargo Advisors Financial Network, LLC in Fort Bragg, California, from 2006 to 2009.
Daniel Catone Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
March 2024. “Plaintiff alleges that from 2006 through 2008, the financial advisor made unsuitable recommendations.” The case is currently pending. The complaint took place while he was registered with Wells Fargo Advisors Financial Network, LLC.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, LPL Financial LLC may be liable for investment or other losses suffered by Daniel Catone’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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