Publicly available records by the Financial Industry Regulatory Authority (FINRA) indicate that Donald Goerner, a Purshe Kaplan Sterling broker in Addison, Texas provided incomplete tax advice in connection to the sale of ZSPH purchased away from his firm. This resulted in a tax liability of $80,000 and loss of potential gains if the position was held longer. This customer complaint is currently pending. ZSPH was an unregistered security allegedly purchased by the client in a private security transaction without the recommendation or due diligence of Mr. Goerner. A broker such as Mr. Goerner must do his due diligence on a security, in order to only recommend and sell suitable investments to his clients. If he does not, his brokerage firm, in this case, Purshe Kaplan, can be held liable for losses. We are securities attorneys who may be able to help you recover those losses on a contingency fee basis. The call to us is free with no obligation so please call today. We are based in Chicago, Illinois. According to his online FINRA public report, Mr. Goerner was registered with MML Investors Services in Addison, Texas from April 2003 until April 2008 and currently with Purshe Kaplan Sterling Investments in Addison, Texas since April 2008. He has one customer dispute pending against him.
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