According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Platt (Platt), previously associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Platt recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Connors (Connors), currently associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Connors recommended unsuitable investments in different investment products including debt securities among other…
Previously financial advisor Frank Betsch (Betsch), previously employed by brokerage firm Purshe Kaplan Sterling Investments has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jimmy Martin (Martin), previously associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Martin recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Ingwersen (Ingwersen), previously associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Ingwersen recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Obraitis (Obraitis), currently associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Obraitis recommended unsuitable investments in different investment products including debt securities among other…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Harvey Cohen (Cohen), previously associated with Purshe Kaplan Sterling Investments, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Cohen concern allegations of high frequency trading…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Becker (Becker), previously associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Becker recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Hiles (Hiles), previously associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Hiles recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lilia Nia (Nia), previously associated with Purshe Kaplan Sterling Investments, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Nia recommended unsuitable investments in different investment products including debt…