Gopi Krishna Vungarala

11/20/2020: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURTIES EXCHANGE ACT OF 1934 Release No. 90476 / November 20, 2020 Admin. Proc. File No. 3-18881 In the Matter of the Application of GOPI KRISHNA VUNGARALA For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION—REVIEW OF DISCIPLINARY PROCEEDING Former registered representative of FINRA member firm appeals from FINRA disciplinary action finding that he made fraudulent misrepresentations and omissions regarding

10/02/2018: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Gopi Krishna Vungarala Midland, MI, Respondent. DECISION Complaint No. 2014042291901 Dated October 2, 2018 Registered representative willfully made fraudulent misrepresentations and omissions concerning commissions and customer's eligibility for volume discounts. Held, findings and sanctions affirmed. Appearances

10/25/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. GOPI KRISHNA VUNGARALA (CRD No. 4856193), Respondent Disciplinary Proceeding No. 2014042291901 Hearing officer – LOM EXTENDED HEARING PANEL DECISION October 25, 2017 Respondent, Gopi Krishna Vungarala, was employed by a

02/04/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Purshe Kaplan Sterling Investments (CRD No. 35747), and Gopi Krishna Vungarala (CRD No. 4856193), Respondents. DISCIPLINARY PROCEEDING No. 2014042291901 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From at least June 2011 through January 2015, Respondent Gopi Vungarala, through his firm, Respondent Purshe Kaplan Sterling Investments ("PKS"), regularly lied to his customer,

Reference 2014042291901data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org