brokerwatch

 

Who Is John Patrick Gaffney? John Gaffney Investigation

John Gaffney is a broker and investment adviser registered with Cetera Advisors since January 2022. Previously, he had been registered with B. Riley Wealth Management, National Asset Management and National Securities Corporation. He is currently a Fund Specialist at CFG Capital Management. According to FINRA’s BrokerCheck, he has been the subject of 1 disclosure so far.

 

Peiffer Wolf is currently investigating John Gaffney’s practices, as well as the products he recommended to individual investors. If you invested with John Gaffney of CFG Capital Management, Contact Us Today for a FREE Consultation: 585-310-5140.

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John Gaffney | CFG Capital Management & Cetera Advisors

 

According to FINRA’s BrokerCheck website for Public Disclosures, John Gaffney is currently a registered broker and investment adviser with Cetera Advisors. Prior to Cetera, he had been registered with B Riley Wealth Management, National Asset Management, National Securities Corporation, LPL Financial, Citigroup Global Markets, and Prudential Securities Incorporated.

 

Brokers like John Gaffney have a legal obligation and regulatory obligation to recommend only suitable investments that are appropriate for their individual clients. Their broker-dealer (employing brokerage firm) has a legal obligation and regulatory obligation to supervise the financial advisor’s sales practices and dealings with clients. To the extent that any of these duties are breached, the customer may be entitled to a recovery of his or her investment losses.

 

To review John Gaffney’s Brokercheck report, click here:
https://brokercheck.finra.org/individual/summary/2827905
*BrokerCheck is run by the Financial Industry Regulatory Authority, Inc. (FINRA)

Were You a Victim of Investment Fraud or Broker Misconduct?

 

If you believe you were a victim of investment fraud or broker misconduct, it is imperative to take action. Peiffer Wolf Carr Kane & Conway has represented thousands of victims, and we remain committed to fighting on behalf of investors.

 

Contact Peiffer Wolf Carr Kane & Conway today by filling out a Contact Form or by calling 585-310-5140 to schedule a FREE Case Evaluation.

FREE Consultation | 585-310-5140

Peiffer Wolf is currently investigating John Gaffney’s practices, as well as the products he recommended to individual investors. Concerns about possible broker misconduct and investment fraud are serious, and we are committed to fighting on behalf of investors. Contact Us  today by filling out a Contact Form or by calling 585-310-5140 to schedule a FREE Case Evaluation.

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Brokercheck®️ report

Information about this broker was obtained from FINRA’s BrokerCheck on March 22, 2022. You should always review the broker’s BrokerCheck report for updated information. If you believe some of the content on this page does not reflect the report, contact us.

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