Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Gibson (Gibson), currently associated with Purshe Kaplan Sterling Investments, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Gibson 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.