Patrick Timothy Walsh of Parsippany New Jersey a stockbroker currently registered with Hennion Walsh Inc. is the subject of a customer initiated investment related arbitration claim where the customer requested $100,000.00 in damages founded on accusations that municipal-debt transactions executed in the customer’s account were not suitable for the customer. Financial Industry Regulatory Authority (FINRA) Arbitration No. 18-00884 (Mar. 12, 2018).
FINRA Public Disclosure confirms that Walsh is referenced in two additional customer initiated investment related disputes pertaining to allegations of his misconduct while employed with Hennion Walsh. Specifically, a customer initiated investment related complaint regarding Walsh’s activities was settled for $30,000.00 in damages based upon accusations that municipal debt transactions placed in the customer’s account were not suitable for the customer. FINRA Arbitration No. 15-02853 (Jan. 10, 2017).
Thereafter, a customer filed an investment related arbitration claim regarding Walsh’s activities in which the customer sought $90,000.00 in damages supported by allegations of poor investment advice relating to the customer’s municipal bond transactions. FINRA Arbitration No. 17-02384 (Sept. 11, 2017).
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