Articles Tagged with William Horak

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 settled customer complaint with a damage request of $25,000.00 on November 19, 2025.

Client alleged Investment in GWG L Bonds was unsuitable.

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.

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 5 disclosable events. These events include 5 customer complaints, alleging that Horak 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 $132,500.00 on December 23, 2024.

Unsuitable investment regarding the sale of GWG L bonds.