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Purshe Kaplan Sterling Inv.

David Michael Becker- Former Cetera Broker- Discloses Pending Customer Dispute -Waterloo, IA

David Michael Becker- Former Cetera Broker- Discloses Pending Customer Dispute -Waterloo, IA 150 150 ER

David M. Becker Investigation November  2021-Waterloo, IA According to publicly available records, David Michael Becker, a former Cetera Advisors broker discloses a pending customer dispute.  The Financial Industry Regulatory Authority (FINRA) is…

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Daniel Davila, III- Purshe Kaplan Sterling Broker-Discloses Customer Suit Over REIT Investments-Austin, TX

Daniel Davila, III- Purshe Kaplan Sterling Broker-Discloses Customer Suit Over REIT Investments-Austin, TX 150 150 Rex Securities Law

January  2019-Austin, TX According to public records of Daniel Davila, III (CRD#1686004)  a  stockbroker employed by Purshe Kaplan Sterling Investments, discloses the recent resolution of a customer suit. The Financial Industry Regulatory…

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Wesley Perkins-W&P Perkins Investments-Charged With Cherry-Picking Trades-Lafayette, LA

Wesley Perkins-W&P Perkins Investments-Charged With Cherry-Picking Trades-Lafayette, LA 150 150 Rex Securities Law

September 2021- Lafayette, LA The FINRA records of  Wesley Kyle Perkins ,  a  former stock broker who is not currently registered and who was last employed by Purshe Kaplan Sterling Investments ,  disclose  that he is…

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Tom Brolle Investigation-Former Morgan Stanley Broker-Newton, PA

Tom Brolle Investigation-Former Morgan Stanley Broker-Newton, PA 150 150 Rex Securities Law

May 2018-Newton, PA According to FINRA records, Bruce Thomas Brolle ,  a stockbroker who is not currently registered with any broker dealer, discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…

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Stanley Niekras-Former Purshe Kaplan Broker-Charged in Regulatory Complaint Alleging Financial Abuse of Elderly

Stanley Niekras-Former Purshe Kaplan Broker-Charged in Regulatory Complaint Alleging Financial Abuse of Elderly 150 150 Rex Securities Law

November 2016-Watertown, New York The FINRA records of  Stanley C. Niekras,  a  stockbroker who was formerly  employed by  Purshe Kaplan Sterling Investments disclose 7 prior customer disputes that have been resolved and a currently pending regulatory…

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Aon D. Miller-Former Benjamin Edwards Broker- Sanctioned by Regulators

Aon D. Miller-Former Benjamin Edwards Broker- Sanctioned by Regulators 150 150 Rex Securities Law

December 18, 2015-Chattanooga, TN A Financial Industry Regulatory Authority (FINRA) hearing panel found that former Benjamin F. Edwards broker Aon D. Miller violated NASD Rule 3040 and FINRA Rule 2010 by…

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Purshe Kaplan Sterling Investments and Broker Vungarala Named In Regulatory Complaint

Purshe Kaplan Sterling Investments and Broker Vungarala Named In Regulatory Complaint 150 150 Rex Securities Law

February 4, 2016- Boca Raton, Florida The Financial Industry Regulatory Authority (FINRA) filed a disciplinary proceeding against brokerage firm Purshe Kaplan Sterling Investments and broker Gopi Krishna Vungarala alleging that from…

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Former Benjamin Edwards Broker Aon D. Miller Charged By FINRA

Former Benjamin Edwards Broker Aon D. Miller Charged By FINRA 150 150 Rex Securities Law

UPDATE January 2016-Chattanooga, TN–A FINRA hearing panel found that former Benjamin F. Edwards broker Aon D. Miller had violated NASD and FINRA rules in connection with private securities transactions. He…

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