Tag Archives: Gopi Krishna Vungarala

SEC Affirms Bar Of Purshe Kaplan Sterling Stockbroker For Native American Fraud

December 07, 2020  |   Posted by :   |   Alternative Investments, Investment and Regulatory News, Native American Theft   |   Comments Off on SEC Affirms Bar Of Purshe Kaplan Sterling Stockbroker For Native American Fraud

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 […]

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FINRA Bars Purshe Kaplan Stockbroker For Fraud

November 07, 2017  |   Posted by :   |   Native American Theft   |   0 Comments

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 […]

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Purshe Kaplin Sterling Investments Sanctioned For Failure To Supervise

Purshe Kaplin Sterling Investments headquartered in Albany, New York, was censured and fined $750,000.00 by Financial Industry Regulatory Authority (FINRA) Department of Enforcement, and ordered to pay $3,373,303.68 in restitution according to an Office of Hearing Officers’ Order Accepting Offer of Settlement containing findings that the firm failed to supervise a registered representative’s dual relationship with […]

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Purshe Kaplin Sterling Investments Charged with Fraud

Purshe Kaplin Sterling Investments , based in Albany, New York, and its stockbroker Gopi Krishna Vungarala, of Midland, Michigan, were charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging misrepresentation and omission of a material fact in connection with the sale of securities ; failure to disclose volume discounts ; […]

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