Articles Tagged with Purshe Kaplan Sterling Investments

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Colleen Maron (Maron), previously associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Maron 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 $2,160,000.00 on June 20, 2024.

Clients Allege misrepresentation, negligence and that the investments: 4 different DSTs were unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Purcell (Purcell), currently associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Purcell 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 $2,160,000.00 on June 20, 2024.

Clients Allege misrepresentation, negligence and that the investments: 4 different DSTs were unsuitable.

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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.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Salvatore Bonetti (Bonetti), currently associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Bonetti 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 $130,000.00  on August 12, 2024.

The complainant alleges that beginning in 2020, the producer recommended that he invest in aggressive stocks despite the complainant being a conservative investor. The complainant alleges to have been financially harmed as a result of this advice.

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

FINRA BrokerCheck shows a final customer complaint on August 19, 2024.

Rendered investment advice, from a location within Florida, without being registered by the Office.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Raymond Kramer (Kramer), previously associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Kramer 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 $50,000.00  on August 30, 2024.

Clients allege unsuitable sale of GWG L Bonds held in her account at Schwab.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Wolf (Wolf), previously associated with Purshe Kaplan Sterling Investments, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Wolf recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on December 16, 2024.

Unsuitable recommendations  on gwg l bonds

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Horak (Horak), currently associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Horak 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 $300,000.00  on February 20, 2025.

Unsuitable Investment in Spring Hills. Also complained about the dividends stopping after 24 months.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Lickiss (Lickiss), previously associated with Purshe Kaplan Sterling Investments, has at least 5 disclosable events. These events include 5 customer complaints, alleging that Lickiss 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 $561,257.00 on March 04, 2025.

Breach of Fiduciary Duty From 2006 to 2023

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Keenan (Keenan), previously associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Keenan 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 $85,000.00 on September 24, 2024.

Client allege misrepresentation and unsuitable recommendation of Northstar Healthcare REIT.

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