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.
Contact Soreide Law Group for a Free Review of Your Potential Investment Loss Claim If your financial advisor recommended Creative Media & Community Trust (NASDAQ: CMCT) and you suffered substantial losses, you may have legal rights. A CMCT investment loss attorney can help you understand your options and pursue recovery. Many investors purchased CMCT believing […]
Soreide Law Group is investigating potential investor claims involving Cambridge Investment Research following a FINRA disciplinary action concerning Unit Investment Trust (UIT) recommendations. In April 2026, FINRA censured Cambridge Investment Research after finding supervisory deficiencies involving certain UIT recommendations made to retail clients. Investors who incurred excessive fees, unnecessary costs, or other damages associated with […]
Soreide Law Group is investigating potential investor claims involving Infinity Financial Services after FINRA sanctioned the firm for supervisory failures involving deferred variable annuity exchanges and recommendations. Investors who incurred surrender charges or other losses in connection with variable annuity transactions recommended through Infinity should review the allegations that led to FINRA's disciplinary action against […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com