If you were a client of this investment advisor, the securities lawyers at Halling & Cayo, S.C. would like to hear from you. We are analyzing potential claims related to the suitability of investments recommended by this broker.
Any previous customer complaints are made publicly available by FINRA. Reviewing these reports can help investors understand the regulatory history of their financial professionals.
Claim(s) Made Against Wayne S Golightly:
Claim Date: 4/17/2026
“Customer alleges he was solicited to transfer assets to the firm, then was recommended speculative biotech securities. As the positions declined, he alleges firm representatives repeatedly told him to continue holding rather than sell. Claims include unsuitable recommendations, overconcentration, misrepresentations/omissions, negligence, breach of fiduciary duty, breach of contract, and failure to supervise.”
This claim, as of this posting, is currently Pending with a claim amount of $80,000.00 .
