Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Milind Dalal (Dalal), previously associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Dalal 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 $500,000.00 on July 20, 2023.
Plaintiff alleges negligence and breach of fiduciary duty against Milind Dalal and his RIA in relation to outside business investment activity not associated with the RIA.