Purshe Kaplan Sterling Inv.

  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Milind Dalal formerly with Purshe Kaplan Sterling Investments
Rex Securities Law Investment Fraud Attorney Investigates Milind Dalal formerly with Purshe Kaplan Sterling Investments 150 150 Robert Rex, Esq.

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:…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Jeffrey Davidson formerly with Purshe Kaplan Sterling Investments
Rex Securities Law Investment Fraud Attorney Investigates Jeffrey Davidson formerly with Purshe Kaplan Sterling Investments 150 150 Robert Rex, Esq.

Last 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…

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Gustavo Miramontes-Oppenheimer Broker-Discloses 10 Final and One Pending Customer Disputes – Los Angeles, CA
Gustavo Miramontes-Oppenheimer Broker-Discloses 10 Final and One Pending Customer Disputes – Los Angeles, CA 150 150 ER

Gustavo Miramontes Investigation February 2024 – Los Angeles, CA According to publicly available records  Gustavo Miramontes,  a stockbroker with Oppenheimer & Co., discloses 10 prior customer disputes, 5apending customer dispute…

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  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates Purshe Kaplan Sterling Investments Broker Bill Horak
Rex Securities Law Investment Fraud Attorney Investigates Purshe Kaplan Sterling Investments Broker Bill Horak 150 150 Robert Rex, Esq.

Last 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…

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  • Robert Rex, Esq.

William (Billy) Busch-Former Morgan Stanley Broker-Settles Customer Suit Over Unsuitable Investments-Austin,TX
William (Billy) Busch-Former Morgan Stanley Broker-Settles Customer Suit Over Unsuitable Investments-Austin,TX 150 150 Robert Rex, Esq.

William (Billy) Busch Investigation December 2021 – Austin, TX According to publicly available records  William (Billy) D. Busch , a stockbroker who was previously registered with Morgan Stanley & Co. discloses  the…

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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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  • Robert Rex, Esq.

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 Robert Rex, Esq.

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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  • Robert Rex, Esq.

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 Robert Rex, Esq.

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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  • Robert Rex, Esq.

Tom Brolle Investigation-Former Morgan Stanley Broker-Newton, PA
Tom Brolle Investigation-Former Morgan Stanley Broker-Newton, PA 150 150 Robert Rex, Esq.

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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