| Read Time: 2 minutes | News & Articles | Purshe Kaplan Sterling Complaints |


Steven Novick Of Purshe Kaplan Sterling Investments Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Steven Novick of Purshe Kaplan Sterling Investments?

Steven Novick

Steven Novick (CRD #2187676) who is currently registered as a broker and investment adviser with Purshe Kaplan Sterling Investments and located in New Canaan, Connecticut, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Purshe Kaplan Sterling Investments, Steven Novick 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.

Steven Novick Customer Complaints

Steven Novick has been the subject of 2 customer complaints that we know about to recover investment losses. One customer complaint evolved into an arbitration proceeding and an award against Steven Novick and his employer. The other customer complaint was denied by his former employer and the customer took no further action.

Allegations Against Steven Novick

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Advisor recommended unsuitable securities and failed to advise client to liquidate.
  • Misrepresentation and/or misleading information and poor customer service regarding fees on an advisory account.

Steven Novick Red Flags & Your Rights As An Investor

Of course, Steven Novick 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 Steven Novick at Purshe Kaplan Sterling Investments on alert to review carefully the activity and performance of their accounts and question whether Steven Novick 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?

best investment fraud lawyers

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 Steven Novick

If you have questions about Purshe Kaplan Sterling Investments and/or Steven Novick 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.

Author Photo

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.

Rate this Post

1 Star2 Stars3 Stars4 Stars5 Stars