Securities Lawyers Blog
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 allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on August 09, 2021.
Claimant alleges suitability, fraud, breach of contract, negligent supervision breach of contract, and negligence related to purchase of alternative investment