Purshe Kaplan Sterling Investments Tag Archives

There are Recent Customer Complaints with Broker Matthew Mccoy in Firm Purshe Kaplan Sterling Investments

March 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Mccoy (Mccoy), previously associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Mccoy 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 $150,000.00 on October 06, 2020.

Client alleges Unsuitable investment into GPB Automotive Portfolio, LP and GPB Capital Holdings II, purchased through Mr. McCoy’s Registered Investment Advisory firm, away from Purshe Kaplan Sterling Investments.

There are Recent Customer Complaints with Broker Andrew Scheirer in Firm Purshe Kaplan Sterling Investments

March 24, 2026 | by Staff Attorney

Previously financial advisor Andrew Scheirer (Scheirer), previously employed by brokerage firm Purshe Kaplan Sterling Investments has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $30,000.00 on October 23, 2020.

Former client stated he was unable to ‘get out’ of two REITs which had decreased in value that were sold to him at Mr. Scheirer’s prior BD-Kovack Securities. He states these were not suitable.

Broker William Platt in Purshe Kaplan Sterling Investments Firm Has Customer Complaint

March 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Platt (Platt), previously associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Platt recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on December 14, 2020.

Clients allege Mr. Platt’s unaffiliated RIA firm Momentum Advisors misrepresented their purchase in GPB Waste Management LP and Vida Longevity Fund.

There are Recent Customer Complaints with Broker David Connors in Firm Purshe Kaplan Sterling Investments

February 27, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Connors (Connors), currently associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Connors 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 $120,000.00 on March 09, 2021.

From 2020 through 2021, Client alleges that Mr. Connors failed to disclose moving funds from an IRA DBA to a non-qualified variable annuity would trigger a taxable event.

Broker Frank Betsch in Purshe Kaplan Sterling Investments Firm Has Customer Complaint

February 20, 2026 | by Staff Attorney

Previously financial advisor Frank Betsch (Betsch), previously employed by brokerage firm Purshe Kaplan Sterling Investments has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $75,000.00 on April 26, 2021.

Client alleges that Financial Professional misrepresented the risks associated with REITS and BDCs and that the investments were unsuitable.

Broker Jimmy Martin in Purshe Kaplan Sterling Investments Firm Has Customer Complaint

February 12, 2026 | by Staff Attorney

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.

There are Recent Customer Complaints with Broker Todd Ingwersen in Firm Purshe Kaplan Sterling Investments

February 10, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Ingwersen (Ingwersen), previously associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Ingwersen recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on February 13, 2025.

The customer alleges that respondents The Harvest Group Wealth Management, LLC, Roger H. Ingwersen, Laurie Ingwersen and Todd Ingwersen collectively engaged in unsuitable investment practices, misrepresentations, and failed to act on client instructions, resulting in avoidable losses.

Broker Robert Obraitis in Purshe Kaplan Sterling Investments Firm Has Customer Complaint

February 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Obraitis (Obraitis), currently associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Obraitis 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 $5,000.00 on December 15, 2025.

Client alleges the RR made misrepresentations in connection with a VUL policy purchased in 2023 which was not suitable for his needs.

There are Recent Customer Complaints with Broker Harvey Cohen in Firm Purshe Kaplan Sterling Investments

January 29, 2026 | by Staff Attorney

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.

Broker David Becker in Purshe Kaplan Sterling Investments Firm Has Customer Complaint

January 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Becker (Becker), previously associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Becker recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on August 09, 2021.

Claimant alleges suitability, fraud, breach of contract, negligent supervision breach of contract, and negligence related to purchase of alternative investment