Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jimmy Martin (Martin), previously associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Martin 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 $30,000.00 on June 22, 2021.
The claimants are alleging that in April of 2015, the representative failed to adequately disclose they were investing in a risky high commission investment and that the investment was protected.\\u00a0 They claim they have lost their full investment due to a recent bankruptcy filing and are stating damages of $30,000.