Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 12, 2017 indicate that Oklahoma-based Purshe Kaplan Sterling Investments broker/adviser Trevor Sutterfield has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Sutterfield (CRD# 2236383).
Trevor Sutterfield has spent 25 years in the securities industry and has been registered with Purshe Kaplan Sterling Investments in Oklahoma City and Bartlesville, Oklahoma and Chandler, Arizona since 2007. Previous registrations include American General Securities in Bartlesville, Oklahoma; Franklin Financial Services Corporation in Houston, Texas; and Pruco Securities in Newark, New Jersey. He is a registered broker and investment adviser with sixteen US states and territories.
According to his BrokerCheck report, he has received two customer complaints and two pending customer complaints.
In 2016 a customer alleged Trevor Sutterfield, while employed at Purshe Kaplan Sterling, failed to design a fully insured defined benefit plan and inappropriately used whole life insurance and a fixed annuity to fund that plan. The customer is seeking $256,527 in damages in the pending complaint.
In 2016 a customer alleged Trevor Sutterfield, while employed at Purshe Kaplan Sterling, participated in the “inappropriate use of variable universal insurance policies within a captive insurance company for tax purposes.” The customer is seeking $282,791 in damages in the pending complaint.
In 2013 a customer alleged Trevor Sutterfield, while employed at Franklin Financial Services, American General Securities, and Purshe Kaplan Sterling, recommended unsuitable investments and executed unauthorized transactions. The complaint settled for $43,750.
In 2008 a customer alleged he, while employed at American General Securities, made an unsuitable investment recommendation. The complaint settled in 2010 for $12,500.
If you or someone you know has a complaint regarding Trevor Sutterfield, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup lost funds. Fitapelli Kurta accepts every case on contingency: we only get paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.a