Guy Anthony Harrigan, of Boulder, Colorado, a stockbroker registered with Lion Street Financial LLC, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $325,000.00 in damages based upon allegations that Harrigan made the unsuitable investment recommendation of direct investments when Harrigan was associated with Lion Street Financial LLC. FINRA Arbitration No. 23-01120 (April 26, 2023).
This is not the first time that Harrigan has been referenced in a customer initiated investment related dispute concerning Harrigan’s conduct in the securities industry. FINRA Public Disclosure shows that Harrigan was also referenced in a customer initiated investment related FINRA securities arbitration claim that was settled for $30,000.00 in damages based upon allegations that Harrigan over-concentrated the customer’s portfolio in alternative investments during the time that Harrigan was associated with Triad Advisors LLC. FINRA Arbitration No. 22-02250 (October 10, 2023).
Harrigan was associated with Lion Street Financial LLC in Boulder, Colorado from October 6, 2016, to September 18, 2023. Harrigan was previously associated with Triad Advisors Inc. in Boulder, Colorado from April 1, 2013, to October 7, 2016.
