Did you lose money investing with former Purshe Kaplan Sterling Investments broker James Caplis (CRD# 1080886)? He was registered with Osaic Wealth, Inc. in Alpharetta, Georgia, from 2023 to 2024, Purshe Kaplan Sterling Investments in Alpharetta, Georgia, from 2017 to 2023, and Feltl & Company in Chicago, Illinois, from 2011 to 2017.
James Caplis Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
April 2026. “Client Alleges they were misled regarding the sale of Spring Hills as the distributions have temporarily stopped and that the product was unsuitable.” The customer is seeking $200,000 in damages, and the case is currently pending. The complaint was regarding real estate security losses, and it took place while he was registered with Purshe Kaplan Sterling Investments.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Purshe Kaplan Sterling Investments may be liable for investment or other losses suffered by James Caplis’ customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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