Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Larry Hancock (Hancock), previously associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Hancock recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on July 03, 2024.
Client alleges lack of service, guidance, and unsuitable investments in several REITS that Mr. Hancock purchased and were done through his RIA: Proactive Retirement Solutions and were held at his RIA custodian: Schwab.