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Last Updated: March 2024 (San Jose, CA) Milind Dalal Investigation Summary Here’s what you need to know about San Jose, CA, stockbroker Milind Dalal: Name: Milind Pinak Dalal Current Employer:…
read moreLast Updated: February 2024 (Austin, TX) Jeffrey Davidson Investigation Summary Here’s what you need to know about Austin, TX, stockbroker Jeffrey Davidson: Name: Mr. Jeffrey Wayne Davidson Current Employer: Victory…
read moreLast Updated: December 2023 (Tallahassee, Florida) Bill Horak Investigation Summary Here’s what you need to know about Tallahassee, FL, stockbroker Bill Horak: Name: Mr. William Stuart Horak Current Employer: Purshe…
read moreJanuary 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…
read moreNovember 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…
read moreFebruary 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…
read moreLast Updated: April 2024 (Bethpage, New York) Ted Agrillo Investigation Summary Here’s what you need to know about Bethpage, NY, stockbroker Theodore Agrillo: Name: Mr. Theodore Richard Agrillo, III Current…
read moreLast Updated: April 2024 (Austin, Texas) Christopher Wells Investigation Summary Here’s what you need to know about Austin, Texas, stockbroker Chris Wells: Name: Mr. Christopher Ronald Wells Current Employer: Purshe…
read moreLast Updated: February 2024 (Atlanta, GA) Eric Ruthman Investigation Summary Here’s what you need to know about Atlanta, GA, stockbroker Eric Ruthman: Name: Mr. Eric Scott Ruthman Current Employer: Purshe…
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