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 |
|---|---|---|---|---|---|---|---|---|
| Bradley Wayne Small | 2749932 | 4 | 06/24/2003 | Customer Dispute | Closed-No Action | $84,110.00 | $0.00 | See FINRA Report |
| Matthew Carl Weinheimer | 2917501 | 1 | 03/08/2003 | Customer Dispute | Closed-No Action | $6,000.00 | $0.00 | See FINRA Report |
| Paul Neuner | 2454215 | 2 | 05/28/2002 | Customer Dispute | Closed-No Action | $47,177.90 | $0.00 | See FINRA Report |
| Lloyd Warren Church | 2835393 | 1 | 10/12/2001 | Customer Dispute | Closed-No Action | $110,000.00 | $0.00 | See FINRA Report |
| Bradley Wayne Small | 2749932 | 4 | 09/07/2001 | Customer Dispute | Closed-No Action | $88,953.00 | $0.00 | See FINRA Report |
| Jiles Ellsworth Kirkland | 2404316 | 2 | 07/25/2001 | Customer Dispute | Closed-No Action | $12,500.00 | $0.00 | See FINRA Report |
| Francis Albert Bautz | 3217237 | 2 | 07/13/2001 | Customer Dispute | Closed-No Action | $120,000.00 | $0.00 | See FINRA Report |
| Richard Andre Crowne | 1749805 | 1 | 01/04/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jiles Ellsworth Kirkland | 2404316 | 2 | 12/26/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John Peter Purcell | 1664678 | 5 | 12/26/2000 | Customer Dispute | Closed-No Action | $102,000.00 | $0.00 | See FINRA Report |