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Alts News

Massachusetts Charges Purshe Kaplan with Failing to Supervise Dually-Registered Agents

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The Massachusetts Securities Division has charged broker-dealer Purshe Kaplan Sterling Investments with failing to supervise dually-registered agents who purportedly sold unsuitable investments to Massachusetts...
Alts News

Purshe Kaplan Pays $9.5 Million to Settle Native American Tribe’s Unsuitable...

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Purshe Kaplan Sterling Investments, a boutique broker-dealer and subsidiary of Wentworth Management Services LLC, has paid the Saginaw Chippawa Indian Tribe of Michigan $9.5...
Alts News

FINRA’s NAC Upholds Sanctions Against Broker Charged with Misleading Native American...

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FINRA’s National Adjudicatory Council, a committee that reviews initial decisions made in FINRA disciplinary proceedings, has upheld a decision involving Gopi Vungarala, a former...
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