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 |
|---|---|---|---|---|---|---|---|---|
| Peter Jerome Mersberger | 2372186 | 4 | 01/06/2021 | Customer Dispute | Settled | $44,000.00 | $0.00 | See FINRA Report |
| Andrew Raymond Scheirer | 4256666 | 6 | 10/23/2020 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Matthew Paul McCoy | 4855742 | 1 | 10/06/2020 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| David George Spence | 1384896 | 1 | 08/12/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Kevin Stophel | 3195581 | 1 | 05/26/2020 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Jack Matthew Cayce | 4189311 | 2 | 04/21/2020 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Peter Jerome Mersberger | 2372186 | 4 | 03/30/2020 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Harpreet Singh Mangat | 4442530 | 2 | 02/04/2020 | Customer Dispute | Denied | $192,000.00 | $0.00 | See FINRA Report |
| Steven Scott Novick | 2187676 | 3 | 01/28/2020 | Customer Dispute | Award / Judgment | $5,375.58 | $5,000.00 | See FINRA Report |
| John Joseph O'Hagan | 1754256 | 2 | 01/13/2020 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |