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 |
|---|---|---|---|---|---|---|---|---|
| Daniel McCleer Draper | 4340989 | 1 | 04/24/2013 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Ryan Douglas Naugle | 4392246 | 1 | 01/17/2013 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Raymond Dean Piccirillo | 2087302 | 3 | 07/09/2012 | Customer Dispute | Closed-No Action | $22,000.00 | $0.00 | See FINRA Report |
| Frank Idrees | 2115734 | 1 | 06/01/2010 | Customer Dispute | Closed-No Action | $70,000.00 | $0.00 | See FINRA Report |
| John Picardi | 4791307 | 2 | 04/05/2010 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| Michael Scott Franklin | 4747047 | 3 | 03/30/2010 | Customer Dispute | Closed-No Action | $223,308.00 | $0.00 | See FINRA Report |
| Robert Gregory Hammond | 4019419 | 3 | 08/18/2009 | Customer Dispute | Closed-No Action | $34,415.00 | $0.00 | See FINRA Report |
| Alan Dixon Beugg | 3004268 | 3 | 07/29/2009 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Kathleen Honor McCarthy | 1677723 | 1 | 02/27/2009 | Customer Dispute | Closed-No Action | $177,000.00 | $0.00 | See FINRA Report |
| Raymond Dean Piccirillo | 2087302 | 3 | 09/18/2008 | Customer Dispute | Closed-No Action | $35,000.00 | $0.00 | See FINRA Report |