Paul Robert Volpe of Westport Connecticut a stockbroker formerly registered with Kestra Investment Services LLC is the subject of a customer initiated investment related written complaint on June 27, 2016 in which the customer requested $27,332.00 in damages based upon allegations of sales practice violations pertaining to a real estate investment trust sold to the customer.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Volpe has been identified in two additional customer initiated investment related disputes containing accusations of Volpe’s misconduct when he was associated with NFP Securities, Inc. Specifically, on December 7, 2011, a customer initiated investment related complaint concerning Volpe’s conduct was settled for $235,000.00 in damages supported by allegations that Volpe placed the customer in direct investment products that were not suitable for the customer.
Then, a customer initiated investment related arbitration claim regarding Volpe’s activities was resolved for $175,000.00 in damages founded on accusations of misrepresentations regarding the terms and conditions of mezzanine financing and tenants-in-common investments. FINRA Arbitration No. 13-03735 (Aug. 11, 2015).
Volpe has been employed by Purshe Kaplan Sterling Investments since May 11, 2018.
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