Purshe Kaplan Sterling Investments Tag Archives

Broker Salvatore Bonetti in Purshe Kaplan Sterling Investments Firm Has Customer Complaint

April 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Salvatore Bonetti (Bonetti), currently associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Bonetti 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 $130,000.00 on August 12, 2024.

The complainant alleges that beginning in 2020, the producer recommended that he invest in aggressive stocks despite the complainant being a conservative investor. The complainant alleges to have been financially harmed as a result of this advice.

There are Recent Customer Complaints with Broker John Reutemann in Firm Purshe Kaplan Sterling Investments

April 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Reutemann (Reutemann), currently associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one regulatory event, alleging that Reutemann recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on August 19, 2024.

Rendered investment advice, from a location within Florida, without being registered by the Office.

There are Recent Customer Complaints with Broker Raymond Kramer in Firm Purshe Kaplan Sterling Investments

April 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Raymond Kramer (Kramer), previously associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Kramer 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 $50,000.00 on August 30, 2024.

Clients allege unsuitable sale of GWG L Bonds held in her account at Schwab.

Broker John Wolf in Purshe Kaplan Sterling Investments Firm Has Customer Complaint

March 31, 2025 | by Staff Attorney

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

Broker William Horak in Purshe Kaplan Sterling Investments Firm Has Customer Complaint

March 27, 2025 | by Staff Attorney

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.

Broker Michael Lickiss in Purshe Kaplan Sterling Investments Firm Has Customer Complaint

March 25, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Lickiss (Lickiss), previously associated with Purshe Kaplan Sterling Investments, has at least 5 disclosable events. These events include 5 customer complaints, alleging that Lickiss 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 $561,257.00 on March 04, 2025.

Breach of Fiduciary Duty From 2006 to 2023

There are Recent Customer Complaints with Broker Brian Keenan in Firm Purshe Kaplan Sterling Investments

March 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Keenan (Keenan), previously associated with Purshe Kaplan Sterling Investments, has at least one disclosable event. These events include one customer complaint, alleging that Keenan 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 $85,000.00 on September 24, 2024.

Client allege misrepresentation and unsuitable recommendation of Northstar Healthcare REIT.

There are Recent Customer Complaints with Broker William Horak in Firm Purshe Kaplan Sterling Investments

March 8, 2025 | by Staff Attorney

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.

Broker Michael Lickiss in Purshe Kaplan Sterling Investments Firm Has Customer Complaint

February 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Lickiss (Lickiss), previously associated with Purshe Kaplan Sterling Investments, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Lickiss 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 $567,000.00 on January 06, 2025.

Alleges fictious bonds from May 1999 to January of 2021 by father of the registered representative. The registered representative was not in the industry until 2016.

Broker Patrick Lawler in Purshe Kaplan Sterling Investments Firm Has Customer Complaint

January 31, 2025 | by Staff Attorney

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.