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.
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
Every settled customer dispute on Peter Maller's BrokerCheck report names Lincoln Financial as the firm. Maller holds CRD number 2322403. The newest dispute, filed on March 5, 2024, settled on August 15, 2024 for $12,500 against alleged damages of $50,000. The claimants alleged that the representative represented an oil and gas investment as safe.
Phone:
Fax: 1-954-760-6553
Email: [email protected]