Investors apparently complained about securities broker George Mauae Purdy [CRD: 5865750, Kailua Kona, Hawaii], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Purdy worked for Cetera Wealth Services LLC beginning on January 13, 2025, and for Cetera Investment Advisers LLC beginning on January 24, 2025, following prior registrations with firms including Cetera Investment Services LLC from October 27, 2022, to December 31, 2024, and AE Wealth Management LLC from April 22, 2020, to October 20, 2021. Read on to find out more about Purdy’s disclosures.
Specifically, a client filed a complaint about George Purdy. Primarily, the client alleged that Purdy purchased the wrong CDs. Because of this, the client allegedly incurred damages. As a result, on April 9, 2025, Cetera Investment Services LLC settled this matter by paying the client $14,300 in damages.
Notably, a client of Cetera Investment Services LLC contested George Purdy’s sales practices, based on a complaint. Allegedly, Purdy failed to execute trades. It appears that Purdy allegedly caused the client to sustain damages associated with mutual funds. Therefore, Cetera Investment Services LLC opted to settle the matter on July 6, 2024, by compensating the client in the amount of $9,519.32.
Did you suffer any investment-related losses because of George Purdy? You can get in touch with Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney about a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the US. Also, the firm takes cases on a contingency fee basis and advances all costs. Purdy and brokerage firms Purdy worked for deny accusations of sales practice violations.
Investors apparently complained about securities broker Debra Dawn Mesle (also known as Debra Dawn Hanebrink and Debbie Mesle) [CRD: 849766, Chesterfield, Missouri], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mesle worked for Merrill Lynch from June 30, 2006, to January 2, 2026, and has worked for Huntleigh Securities Corporation and Huntleigh […]
Investors potentially experienced sales practice violations by securities broker Francis Stephen Zoracki, also known as Frank Zoracki [CRD: 1363103, Irwin, Pennsylvania], according to information disclosed through Financial Industry Regulatory Authority (FINRA) BrokerCheck. Zoracki has worked for Cambridge Investment Research Inc. since September 28, 2011; Cambridge Investment Research Advisors Inc. since September 28, 2011; and Duncan […]
Investors may have suffered financial harm by securities broker and investment adviser Loren James Grabau [CRD: 6984490, Santa Maria, California], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Grabau worked for Independent Financial Group LLC from April 8, 2019, to August 19, 2025. See below to discover more about Grabau’s disclosures. […]
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