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 |
|---|---|---|---|---|---|---|---|---|
| Salvatore Bonetti | 4494241 | 4 | 08/12/2024 | Customer Dispute | Pending | $130,000.00 | $0.00 | See FINRA Report |
| Richard Wayne Gibson | 5352063 | 2 | 06/20/2024 | Customer Dispute | Pending | $2,160,000.00 | $0.00 | See FINRA Report |
| Craig Weinstein | 4167923 | 3 | 06/18/2024 | Customer Dispute | Pending | $161,706.00 | $0.00 | See FINRA Report |
| Amir A Barar | 3105445 | 1 | 06/18/2024 | Customer Dispute | Pending | $161,706.00 | $0.00 | See FINRA Report |
| Connor James Greenberg | 6766810 | 2 | 05/23/2024 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Richard Wayne Gibson | 5352063 | 2 | 05/09/2024 | Customer Dispute | Settled | $25,758.30 | $0.00 | See FINRA Report |
| William Stuart Horak | 1462594 | 6 | 03/28/2024 | Customer Dispute | Pending | $100,000.00 | $0.00 | See FINRA Report |
| Andrew Clifton Keller | 4682790 | 1 | 02/26/2024 | Customer Dispute | Pending | $140,000.00 | $0.00 | See FINRA Report |
| Michael Jerome Lickiss | 5135936 | 1 | 02/05/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Eric Scott Ruthman | 6281076 | 1 | 01/24/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |