Securities Lawyers Blog
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Garth Lurvey (Lurvey), previously employed by Private Client Services, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to records kept by The Financial Industry Regulatory Authority (FINRA), Lurvey’s most recent customer complaint alleges that Lurvey recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.
FINRA BrokerCheck shows a settled customer complaint on August 21, 2023.
Customer alleges that during the time period 2017-2022, representative made unsuitable recommendations and untrue representations to the customer regarding a structured note.