Keith Craig Baron of Jericho, New York, a stockbroker formerly registered with Equity Services Inc., is the subject of an enforcement action initiated by the Financial Industry Regulatory Authority (FINRA) in which the regulator is seeking sanctions against Baron based upon allegations that Baron engaged in fraud and made misrepresentations of material fact in connection…
Gopi Krishna Vungarala (also known as Gopi Krishan Vungarala) of Midland Michigan a stockbroker formerly registered with Purshe Kaplan Sterling Investments has been isnamed in arbitration claim an Opinion by Securities Exchange Commission (SEC) who affirmed a decision by Financial Industry Regulatory Authority (FINRA) to bar Vungarala from associating with any FINRA member in any…
Gopi Krishna Vungarala, of Midland, Michigan, a stockbroker formerly registered with Purshe Kaplan Sterling Investments, and investment adviser formerly associated with Shutterfield Financial Group, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity and ordered to disgorge commissions totaling $9,682,629.00 according to an Extended Hearing Panel Decision containing…