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 |
|---|---|---|---|---|---|---|---|---|
| Craig Nicholas Robson | 2491312 | 1 | 12/01/2000 | Customer Dispute | Closed-No Action | $130,000.00 | $0.00 | See FINRA Report |
| Keith David Huberman | 3035582 | 1 | 02/25/2000 | Customer Dispute | Closed-No Action | $20,000.00 | $0.00 | See FINRA Report |
| William David Woodmansee | 1857491 | 3 | 10/08/1998 | Customer Dispute | Closed-No Action | $1,814,770.00 | $0.00 | See FINRA Report |