Erez Law is currently investigating Lion Street Financial, LLC broker Guy Harrigan (CRD# 1817525) regarding who is accused of investment losses related to unsuitable recommendations. He has been registered with Lion Street Financial, LLC in Boulder, Colorado, since 2016, Csenge Advisory Group, LLC in Boulder, Colorado, since 2020, and with Lion Street Advisors, LLC in Boulder, Colorado, since 2016. Previously, he was registered with Triad Advisors, Inc. in Boulder, Colorado, from 2013 to 2016.
Guy Harrigan Customer Complaints
He has been the subject of three customer complaints between 2021 and 2023, according to his CRD report:
April 2023. “Claim alleges damages related to the unsuitable sale of alternative intvestments.” The customer is seeking $325,000 in damages, and the case is currently pending. The complaint was related to direct investment losses, and it took place while he was registered with Triad Advisors LLC.
October 2022. “Claimants allege that certain alternative investment recommendations made to them were not in keeping with their investment needs and objectives, and that their portfolio was “over-concentrated…in high-risk,complicated investments.” The customer is seeking $100,000 in damages, and the case is currently pending. The complaint was related to direct investment losses, and it took place while he was registered with Triad Advisors LLC and Lion Street Financial, LLC.
March 2021. “Customer alleges that that representative told him that investments were relatively risk free and did not inform the client of losses incurred.” The customer is seeking $780,961 in damages, and the case is currently pending. The complaint was related to direct investment losses, and it took place while he was registered with Triad Advisors LLC and Lion Street Financial, 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, Triad Advisors LLC and Lion Street Financial, LLC may be liable for investment or other losses suffered by Guy Harrigan’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.
"*" indicates required fields
