Tagged with "kaplan"

Whistleblower Files Lawsuit Against Former Broker-Dealer for Retaliatory Discharge

Posted on August 9th, 2018 at 2:34 PM
Whistleblower Files Lawsuit Against Former Broker-Dealer for Retaliatory Discharge

A former compliance executive for the broker-dealer, Purshe Kaplan has filed a whistleblower lawsuit against the firm, its holding company, senior management, and the firm’s new owner, Wentworth Management, alleging retaliation in violation of protections under the Dodd-Frank financial reform act.

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