Securities Lawyers Blog
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
