DID WILLIAM STUART HORAK CAUSE YOU INVESTMENT LOSSES?
William Horak Of Purshe Kaplan Sterling Investments Has 5 Customer Complaints For Alleged Broker Misconduct
Who is William Horak of Purshe Kaplan Sterling Investments?
William Horak (CRD #1462594) who is currently registered as a broker and investment adviser with Purshe Kaplan Sterling Investments and located in Tallahassee, Florida, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Purshe Kaplan Sterling Investments, William Horak was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
William Horak Customer Complaints
William Horak has been the subject of 5 customer complaints that we know about seeking to recover investment losses. One customer complaint was settled by Purshe Kaplan Sterling Investments in favor of the investor for William Horak’s alleged misconduct. Another customer complaint was denied by the brokerage firm and later withdrawn. There are currently 3 customer complaints that are still pending against the advisor’s current employer in FINRA arbitration proceedings.
Allegations Against William Horak
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- Unsuitable investments in breach of fiduciary duty regarding the sale of GWG L bonds.
- Negligence, breach of fiduciary duty, breach of contract relation to, asset backed debt.
- Unsuitable investment recommendations related to 2 REIT transactions.
- Purchase of Hospitality Investors Trust REIT was unsuitable.
- Negligence, breach of fiduciary duty, breach of contract relation to GWG L bonds.
William Horak Red Flags & Your Rights As An Investor
Of course, William Horak did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of William Horak at Purshe Kaplan Sterling Investments on alert to review carefully the activity and performance of their accounts and question whether William Horak has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Purshe Kaplan Sterling Investments also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Purshe Kaplan Sterling Investments Due To William Horak
If you have questions about Purshe Kaplan Sterling Investments and/or William Horak and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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