Advisor Alert: Our Attorneys Are Investigating John Patrick Gaffney For Investment Fraud
Did You Lose Money Because of John Gaffney?
Filed: October 30, 2023
John Gaffney currently has one (1) pending customer complaint. Overall, he has been the subject of four (4) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.
Let’s begin our Patil Law Advisor Alert with a summary report on John Patrick Gaffney.
Who Is John Patrick Gaffney?
- Advisor Name: John Patrick Gaffney
- Aliases: John Gaffney
- CRD: 2827905
- Location: Wildwood, Florida
- Current Employer: Currently not Registered
- Previous Firms: Cetera Advisors LLC, B. Riley Wealth Management, and National Securities Corporation
- Number of Known Customer Complaints: 4
- Can John Gaffney Be Sued: Yes, in Private Arbitration
- Can John Gaffney’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
- Highest Damages Allegation: $500,000
- Highest Settlement: $20,000
If you have suffered investment losses by John Gaffney, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a stockbroker fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.
Customer Complaints Filed Against John Gaffney For Broker Misconduct
As of this publication date, John Gaffney has been the subject of 4 customer disputes. Let’s review them below.
In November 2022, a complaint was filed against or in reference to John Gaffney by a customer of Cetera Advisors LLC alleging unauthorized trading.
In July 2022, a FINRA arbitration was filed against or in reference to John Gaffney by a customer of National Securities Corporation alleging suitability. Per the customer, he/she lost over $150,000 because of Mr. Gaffney’s actions. On February 24, 2023, Mr. Gaffney settled the claim for $20,000, and some or all of this amount may have been paid by Mr. Gaffney’s employer and/or insurance carrier.
In May 2022, a FINRA arbitration was filed against or in reference to John Gaffney by a customer of National Securities Corporation alleging suitability problems with an options investment strategy. Per the customer, he/she lost over $500,000 because of Mr. Gaffney’s actions. As of this publication date, this claim remains pending.
In January 2008, a complaint was filed against or in reference to John Gaffney by a customer of Citigroup Global Markets Inc. alleging that the client stated that she needed investments that would not lose money.
How To File A Claim Against John Gaffney (previously with Cetera Advisors LLC, B. Riley Wealth Management, and National Securities Corporation) To Get Your Money Back.
If you have questions about John Gaffney, Cetera Advisors LLC, B. Riley Wealth Management, National Securities Corporation, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.