Articles Tagged with Purshe Kaplan Sterling Investments

Michelle SmithPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 20, 2017 indicate that former New York-based Purshe Kaplan Sterling Investments broker/adviser Michelle Smith was recently sanctioned by the Securities and Exchange Commission and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Smith (CRD# 1588779).

Michelle Smith has spent 30 years in the securities industry and was most recently registered with Purshe Kaplan Sterling Investments in New York, New York (2012-2017). Previous registrations include Lebenthal & Company in New York, New York; Alexandra & James Company in New York, New York; Wachovia Securities in New York, New York; First Union Capital Markets in Charlotte, North Carolina; Painewebber in Weehawken, New Jersey; and Merrill Lynch in New York, New York. She is currently not registered with any state or firm.

According to her BrokerCheck report, Michelle Smith has been sanctioned by the SEC.

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