Investors Bring FINRA Arbitration Claims Against Purshe Kaplan
Curtis Winston Neuman of Ocala Florida a stockbroker formerly registered with Purshe Kaplan Sterling Investments is referenced in a customer initiated investment related written complaint on February 28, 2019 where the customer requested unspecified damages supported by accusations that the customer had been provided with unsuitable investment advice in regards to the purchase of a fixed income product through Financial Security Group while Neuman was associated with Purshe Kaplan Sterling Investments.
This is not the first time that Neuman has been accused of engaging in sales practice violations. Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally confirms that on March 19, 2015, a customer filed an investment related civil action concerning Neuman’s conduct in which the customer sought $15,000.00 in damages based upon allegations that misrepresentations and omissions had been made by the stockbroker during the time that he was associated with Financial Security Group. Civil Action No. 15-234-CAG (May 19, 2015). According to the claim, the customer had been sold inappropriate insurance products.
Neuman was registered with Purshe Kaplan Sterling Investments and Research Financial Strategies between July 7, 2015 and July 6, 2020. By July 1, 2020, Neuman became a stockbroker and investment adviser representative of MML Investors Services.