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 |
|---|---|---|---|---|---|---|---|---|
| Steven Scott Novick | 2187676 | 3 | 01/28/2020 | Customer Dispute | Award / Judgment | $5,375.58 | $5,000.00 | See FINRA Report |
| Harpreet Singh Mangat | 4442530 | 2 | 05/02/2014 | Customer Dispute | Award / Judgment | $488,000.00 | $200,000.00 | See FINRA Report |
| Christopher Bradley Ayer | 3187634 | 2 | 07/26/2010 | Customer Dispute | Award / Judgment | $150,000.00 | $36,775.00 | See FINRA Report |
| Mark Stephen Hofstetter | 1970941 | 1 | 03/03/2010 | Customer Dispute | Award / Judgment | $425,000.00 | $0.00 | See FINRA Report |
| Peter Ivan Michael Shusterman | 1460819 | 2 | 08/03/2009 | Customer Dispute | Award / Judgment | $482,000.00 | $488,260.00 | See FINRA Report |
| William Burk Rosenthal | 2030765 | 1 | 04/28/2009 | Customer Dispute | Award / Judgment | $500,000.00 | $52,600.00 | See FINRA Report |
| John Peter Purcell | 1664678 | 5 | 03/31/2005 | Customer Dispute | Award / Judgment | $850,000.00 | $315,720.00 | See FINRA Report |
| Steven Marc Weitz | 2731399 | 4 | 02/10/2003 | Customer Dispute | Award / Judgment | $900,000.00 | $16,828.00 | See FINRA Report |
| John Fleming Reutemann | 374456 | 8 | 12/23/2002 | Customer Dispute | Award / Judgment | $250,000.00 | $115,000.00 | See FINRA Report |
| Robert Edward Holland | 819275 | 3 | 10/04/2002 | Customer Dispute | Award / Judgment | $150,000.00 | $568,116.00 | See FINRA Report |