Colleen Maron: $2.16mm DST Complaint Against Ex-PKS Advisor

Former Albany, New York financial advisor Colleen Maron (CRD# 2211633) allegedly recommended unsuitable Delaware Statutory Trusts, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she was previously registered as a broker and an investment advisor with Purshe Kaplan Sterling.

Ms. Maron’s BrokerCheck report discloses one investor complaint. Filed in June 2024, it alleges that as a representative of Purshe Kaplan Sterling, she misrepresented material facts, acted negligently, and recommended unsuitable investments in Delaware Statutory Trusts. The pending complaint alleges damages of $2,160,000.

In addition to her BrokerCheck report, Ms. Maron’s LinkedIn profile includes a summary of her experience and services as a compliance professional. “Partnered with customers to understand business requirements and deliver quality solutions on time and within budget that help achieve business objectives in the insurance company broker-dealer industry,” it explains. “Areas of expertise include: consulting, inspecting, assessing risk/liability in a variety of situations, research and analysis of compliance deficiencies, co-designing and presenting training for field offices implementing FINRA and SEC requirements.”

According to the Financial Industry Regulatory Authority, Colleen Maron holds 30 years of securities industry experience. Most recently based in Albany, New York, she was registered as a broker and an investment advisor with Purshe Kaplan Sterling from 2016 until 2023. Her registration history includes MML Investors Services (Springfield, Massachusetts; 2004-2016), Phoenix Equity Planning Corporation (Hartford, Connecticut; 2003), WS Griffith Securities (Hartford, Connecticut; 1998-2003), and WS Griffith & Company (Hartford, Connecticut; 1992-1997). Her credentials include the passage of eight securities industry qualifying exams: the Municipal Securities Principal Examination, or Series 53; the General Securities Principal Examination, or Series 24; the Municipal Securities Representative Examination, or Series 52TO; the Securities Industry Essentials Examination, or SIE; the General Securities Representative Examination, or Series 7; the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the Uniform Investment Adviser Law Examination, or Series 65; and the Uniform Securities Agent State Law Examination, or Series 63. She is not currently registered as a broker or as an investment advisor. (Information current as of February 20, 2025.)

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