Securities Lawyers Blog
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.