Tag Archives: Xerxes Soli Mullan

Purshe Kaplan Stockbroker Caught Selling Away

October 08, 2020  |   Posted by :   |   Selling Away and Outside Activities   |   Comments Off on Purshe Kaplan Stockbroker Caught Selling Away

Xerxes Soli Mullan of New York New York a stockbroker formerly registered with Purshe Kaplan Sterling Investments has been fined $10,000.00 and suspended for two years from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Mullan took part in unapproved private securities transactions when he was registered […]

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