Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dorothy Mannix (Mannix), currently associated with Purshe Kaplan Sterling Investments, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Mannix 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 $25,000.00 on May 18, 2026.
Client alleges breach of fiduciary duty regarding the sale of mutual funds resulting in a possible wash sale tax implication.