Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Lawler (Lawler), currently associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Lawler 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 $27,000.00 on December 03, 2024.
Claimants allege that, in 2014, Representative recommended an investment in a real estate investment trust (REIT) that was not suitable for Claimants. Claimants further allege that Representative misrepresented the high-risk, speculative, and illiquid nature of the REIT.
