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Category Purshe Kaplan Sterling

Purshe Kaplan Sterling Investments Fraud and/or Investment Loss Customer Complaint Disclosures

May 11, 2021

Purshe Kaplan Sterling Investments: CRD#: 35747/SEC#: 8-46844 The firm is headquartered in Albany, New York.  It was founded by J. Peter Purcell who currently serves as Chief Executive Officer.  It is the child company of Wentworth Management Services, LLC.  Purshe Kaplan Sterling Investments holds 52 licenses for U.S. States and Territories.

Former Purshe Kaplan Sterling Investments Broker, Gopi Vungarala, Barred By FINRA For Allegedly Engaging in Fraud In Connection With The Sale Of Non-Traded Real Estate Investment Trusts and Business Development Companies

December 5, 2020

Gopi Vungarala (CRD # 4856193) was a Financial Advisor at Purshe Kaplan Sterling Investments in Midland, MI from 2007 to 2017. Gopi Vungarala worked for American General Securities Incorporated from 2004 to 2017. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on February 4, 2016, Gopi Vungarala was barred by…

SEC Charges World Tree Financial, LLC And Wesley Perkins With Securities Fraud

September 26, 2018

The Wolper Law Firm is currently investigating claims against World Tree Financial, LLC and Wesley Perkins.  World Tree Financial is a Louisiana based brokerage firm founded by Wesley Perkins.  According to publicly available records released by the Securities and Exchange Commission (SEC), on World Tree Financial And Wesley Perkins have been charged with securities fraud…

SEC Brings An Enforcement Action Against Indianapolis Broker, Tamara Steele, For Selling Millions Of High-Risk Securities To Advisory Clients

September 23, 2018

The Wolper Law Firm is currently investigating claims against Tamara Steele, a former Financial Advisor at Comprehensive Asset Management in Pendelton, Indiana.  Tamara Steele has been in the securities industry since the 1990s and previously worked at Purshe, Kaplan Sterling Investments. According to publicly available records released by the Securities and Exchange Commission (SEC), on…

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