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 |
|---|---|---|---|---|---|---|---|---|
| Luis Marck Strohmeier | 1930000 | 2 | 10/30/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael William Conway | 1099865 | 1 | 10/15/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mike Scott Saul | 2639925 | 2 | 08/21/2019 | Customer Dispute | Denied | $17,417.10 | $0.00 | See FINRA Report |
| Emily Nikoloudis | 3223547 | 1 | 07/26/2019 | Customer Dispute | Denied | $225,000.00 | $0.00 | See FINRA Report |
| Brian Patrick Sullivan | 2346836 | 2 | 04/10/2019 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| John Fleming Reutemann | 374456 | 8 | 03/11/2019 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jason R Watson | 4414439 | 8 | 03/07/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Nathan Hale | 4340566 | 2 | 02/20/2019 | Customer Dispute | Settled | $12,113.10 | $0.00 | See FINRA Report |
| Ernest Lee Clark | 47505 | 1 | 01/14/2019 | Customer Dispute | Denied | $12,969.70 | $0.00 | See FINRA Report |
| Andrew Raymond Scheirer | 4256666 | 6 | 10/02/2018 | Customer Dispute | Settled | $94,000.00 | $0.00 | See FINRA Report |