Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on September 13, 2018 indicate that California-based Purshe Kaplan Sterling broker/adviser Joseph Eschleman has been sanctioned by FINRA in connection to alleged rule violations and issued a suspension from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Eschleman (CRD# 3237843).
Joseph Eschleman has spent 18 years in the securities industry and has been registered with Purshe Kaplan Sterling Investments in Sacramento, California since August 2017. Previous registrations include Wells Fargo Clearing Services in Sacramento, California (2003-2017) and Prudential Securities in New York, New York (1999-2003). He is a registered broker and investment adviser with two US states: California and Pennsylvania.
According to his BrokerCheck report, he was recently sanctioned by FINRA and has received one customer complaint.