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 |
|---|---|---|---|---|---|---|---|---|
| John Fleming Reutemann | 374456 | 8 | 07/07/2008 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Roy David Gutierrez | 1007996 | 3 | 03/31/2008 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Bert Thomas Bowler | 2485212 | 3 | 08/07/2007 | Customer Dispute | Closed-No Action | $165,000.00 | $0.00 | See FINRA Report |
| Craig Weinstein | 4167923 | 3 | 06/10/2005 | Customer Dispute | Closed-No Action | $5,364.78 | $0.00 | See FINRA Report |
| Steven Marc Weitz | 2731399 | 4 | 10/07/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Ben Howard Feldmeyer | 2431764 | 2 | 09/30/2004 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Brian Isadore Pultman | 2348657 | 4 | 05/11/2004 | Customer Dispute | Closed-No Action | $111,145.00 | $0.00 | See FINRA Report |
| Jason Brewer Cort | 2634908 | 1 | 10/22/2003 | Customer Dispute | Closed-No Action | $152,000.00 | $0.00 | See FINRA Report |
| Allen James Rogers | 1134726 | 2 | 09/26/2003 | Customer Dispute | Closed-No Action | $278,000.00 | $0.00 | See FINRA Report |
| Douglas Eugene Stone | 2743033 | 1 | 09/02/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |