National investment loss lawyers KlaymanToskes is investigating broker Brittany Halpern (CRD# 6850442) of Purshe Kaplan Sterling Investments and Summit Financial.
According to FINRA BrokerCheck, broker Brittany Halpern is currently facing an investor complaint alleging $784,000 in damages due to negligence, misrepresentations and omissions, and breach of fiduciary duties and contractual obligations by referring the clients to a third-party captive insurance company that allegedly committed fraud and lost the clients’ investment.
Investors that suffered losses with broker Brittany Halpern are encouraged to contact attorney Lawrence L. Klayman, Esq., at 888-997-9956 or by email at investigations@klaymantoskes.com to discuss potential recovery options. We do not collect attorney’s fees unless we are able to obtain a financial recovery for you.
Financial advisor Brittany Halpern, of Purshe Kaplan Sterling Investments and Summit Financial is currently involved in a customer dispute alleging $784,000 in damages. The customer alleges that advisors and Summit were negligent, made misrepresentations and omissions, and breached their fiduciary duties and contractual obligations by referring the clients to a third-party captive insurance company that allegedly committed fraud and lost the clients’ investment. Halpern is currently registered as a broker with Purshe Kaplan Sterling Investments and as an investment advisor with Summit Financial in Parsippany, NJ.
The broker’s comment listed with the disclosure states “Upon request from the Clients’ accountant, Advisors referred Clients to two third party captive insurance vendors that had been utilized by other clients. The captive vendor that Clients chose closed after allegedly committing fraud. Advisor did not solicit Clients to use captive insurance or these vendors. Nor did Advisor receive any compensation for referring Clients to these vendors.”
As an investor, there are a few signs that you should look out for if you believe you may have a claim against broker Brittany Halpern. These signs could potentially indicate misconduct, negligence, or investment fraud. Investors are encouraged to contact our firm immediately if you have experienced any of the following:
Some investors have close relationships with their brokers due to the time and trust built over the course of their investment relationship. However, it is crucial to remember that financial decisions should be based on careful analysis and due diligence rather than solely relying on personal relationships.
Engaging the services of an experienced securities attorney to evaluate your specific circumstances is strongly advised. At KlaymanToskes, our team of experienced securities attorneys has a deep understanding of this complex area of law, allowing us to provide invaluable insight and tailored guidance that directly addresses your individual needs.
If you suffered losses with broker Brittany Halpern, or have concerns regarding your investment portfolio at Purshe Kaplan Sterling Investments, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation.