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Ron Purvines Allegedly Recommended Unsuitable Investments

Ron Purvines (CRD #: 1712228), a broker registered with LPL Financial, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on July 1, 2024. Keep reading if you have questions regarding his alleged conduct. 

Investor Allegations 

On June 3, 2021, investors alleged Ron Purvines recommended unsuitable investments. The dispute was settled for $205,000 following FINRA arbitration. You can read a copy of the Arbitration Award here

There is another settled dispute on his record. 

Criminal Charges 

Investors should know that there are also two criminal charges on his record. 

Background Information

Ron Purvines passed the following exams:

  • Series 65 Uniform Investment Adviser Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 
  • Series 6 Investment Company Products / Variable Contracts Representative Examination 
  • Series 24 General Securities Representative Examination 

He is a registered broker in 39 states and D.C. He is also a registered investment adviser in Nevada and Texas. 

During his 36 years of experience, Ron Purvines has registered with ten firms. These are the five most recent: 

  • LPL Financial (CRD #: 6413) 
  • Cetera Advisors (CRD #: 10299) 
  • Investors Capital Corp (CRD #: 30613) 
  • National Planning Corporation (NPC of America) (CRD #: 29604) 
  • Countrywide Estate Planning (CRD #: 123064) 

Kurta Law Can Help 

If you have worked with Ron Purvines and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.