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…
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 moreDecember 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…
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…
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