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Jonathan Penta Formerly With Purshe Kaplan Sterling Investments And UBS Financial Services Has A Customer Complaint For Alleged Broker Misconduct

Who is Jonathan Penta formerly with Purshe Kaplan Sterling Investments?

Jonathan Penta (CRD #4385853) who was formerly registered with Purshe Kaplan Sterling Investments and located in Waltham, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. Prior to Purshe Kaplan Sterling Investments, Jonathan Penta was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Jonathan Penta Customer Complaint

Jonathan Penta has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were the client alleged her financial advisor, Jonathan Penta did not honestly expose the commission trail fees at the time of purchase of her annuity and was charged an additional 4 percent on top of that as well. Jonathan Penta’s customer complaint was denied and, to date, the customer has not taken any further action.

A broker’s denial of your claim does not mean it was not a valid claim!

All brokers have a conflict of interest when it comes to complaints.

Call us now for an unbiased evaluation of your claim at 800-732-2889.

Jonathan Penta Red Flags & Your Rights As An Investor

Of course, Jonathan Penta 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 Jonathan Penta at Purshe Kaplan Sterling Investments and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Jonathan Penta has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Purshe Kaplan Sterling Investments and UBS Financial Services 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.

File A Claim To Recover Your Investment Losses At Purshe Kaplan Sterling Investments Due To Jonathan Penta

If you have questions about Purshe Kaplan Sterling Investments, UBS Financial Services, and/or Jonathan Penta 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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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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