Securities Lawyers Blog
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 allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $120,000.00 on March 09, 2021.
From 2020 through 2021, Client alleges that Mr. Connors failed to disclose moving funds from an IRA DBA to a non-qualified variable annuity would trigger a taxable event.