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 | 04/18/2023 | Customer Dispute | Pending | $10,640.00 | $0.00 | See FINRA Report |
| William Stuart Horak | 1462594 | 6 | 11/22/2022 | Customer Dispute | Settled | $160,000.00 | $0.00 | See FINRA Report |
| Kelly Lee Straub | 1122041 | 1 | 08/15/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Richard Chepauskas | 2033478 | 2 | 06/01/2022 | Customer Dispute | Settled | $110,000.00 | $0.00 | See FINRA Report |
| Keith Christian Cuomo | 2587130 | 1 | 05/17/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Patrick James Chirchirillo | 6163577 | 1 | 09/30/2021 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| William Stuart Horak | 1462594 | 6 | 06/05/2021 | Customer Dispute | Withdrawn | $50,000.00 | $0.00 | See FINRA Report |
| Frank Michael Betsch | 708159 | 2 | 04/26/2021 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| David Walsh Connors | 4023878 | 1 | 03/09/2021 | Customer Dispute | Pending | $120,000.00 | $0.00 | See FINRA Report |
| Peter Ivan Michael Shusterman | 1460819 | 2 | 02/16/2021 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |