Articles Tagged with Purshe Kaplan Sterling Investments

Jason WatsonPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 16, 2019 indicate that Pennsylvania-based Purshe Kaplan Sterling Investments broker/adviser Jason Watson has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Watson (CRD# 4414439).

Jason Watson has spent 15 years in the securities industry and has been registered with Purshe Kaplan Sterling Investments in Philadelphia, Pennsylvania since 2014. He was previously registered with New England Securities in Newtown Square, Pennsylvania (2002-2013). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on January 28, 2002; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 28, 2002; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on May 24, 2002. He is a registered broker and investment adviser with four US states: Maryland, New Jersey, New York, and Pennsylvania.

According to his BrokerCheck report, he has received three customer complaints and one pending customer complaint.

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.