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 |
|---|---|---|---|---|---|---|---|---|
| Brandon Ashley Horton | 4569003 | 1 | 06/22/2023 | Customer Dispute | Closed-No Action | $400,000.00 | $0.00 | See FINRA Report |
| John Fleming Reutemann | 374456 | 8 | 03/11/2019 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John Joseph O'Hagan | 1754256 | 2 | 03/23/2018 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Frank Michael Betsch | 708159 | 2 | 04/27/2017 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Kevin William Woehler | 4446843 | 2 | 06/29/2015 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Jeffrey Lane Davis | 1344594 | 3 | 03/25/2015 | Customer Dispute | Closed-No Action | $500,000.00 | $0.00 | See FINRA Report |
| Richard Anthony Camacho | 5328612 | 1 | 10/06/2014 | Customer Dispute | Closed-No Action | $18,421.70 | $0.00 | See FINRA Report |
| Richard Anthony Tira | 4254326 | 1 | 08/30/2013 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Preston William Snow | 4600344 | 1 | 07/12/2013 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Christian Andrew Alexander MacLean | 4326300 | 2 | 06/24/2013 | Customer Dispute | Closed-No Action | $250,000.00 | $0.00 | See FINRA Report |