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2024 Cybersecurity Conference

FINRA’s Cybersecurity Conference is a one-day, hybrid event that is designed to help you stay current on today’s cybersecurity challenges, understand vulnerabilities and latest threats and create resilience against cyber-attacks. Whether you work in information security, information technology, cybercrime, compliance or are a business owner, you will learn from leading experts in the industry and participate in engaging sessions to leave you with valuable information to help you protect your organization.

2018060896301 Purshe Kaplan Sterling Investments, Inc. CRD 35747 AWC lp (2024-1705709992020).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018060896301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Purshe Kaplan Sterling Investments, Inc. (Respondent) Member Finn CRD No. 35747 Pursuant to FINRA Rule 9216, Respondent Purshe Kaplan Sterling Investments, Inc. (PKS) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.