Our Staff has compiled our research into a database of FINRA Broker Disclosures for Purshe Kaplan Sterling Investments. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| William Stuart Horak | 1462594 | 2 | 11/22/2022 | Customer Dispute | Pending | $160,000.00 | $0.00 | See FINRA Report |
| Paul Jacques Stawinski | 717063 | 6 | 09/02/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mary Turner Moose | 3130178 | 4 | 08/01/2022 | Customer Dispute | Pending | $450,000.00 | $0.00 | See FINRA Report |
| Francis Bernard Miller | 4815317 | 7 | 06/22/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Richard Chepauskas | 2033478 | 2 | 06/01/2022 | Customer Dispute | Pending | $110,000.00 | $0.00 | See FINRA Report |
| Roy Leon Matlock | 1241763 | 2 | 03/24/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joshua Paul Mauk | 5915472 | 1 | 03/24/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Vincent Frank Gauci | 1046132 | 3 | 02/17/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Wayne Davidson | 4585780 | 1 | 01/26/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael James Dejulio | 5168978 | 4 | 01/24/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |