Securities Lawyers Blog
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Harvey Cohen (Cohen), previously associated with Purshe Kaplan Sterling Investments, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Cohen concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $76,500.00 on August 02, 2021.
Customer alleges unsuitable investments, churning and failure to properly supervise transactions. January 2015 through November 2019.