Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brittany Halpern (Halpern), currently associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Halpern recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $784,000.00 on August 06, 2025.
Clients allege advisors and Summit were negligent, made misrepresentations and omissions, and breached their fiduciary duties and contractual obligations by referring the clients to a third-party captive insurance company that allegedly committed fraud and lost the clients’ investment.