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 |
|---|---|---|---|---|---|---|---|---|
| Catherine Elizabeth Jenson | 6372463 | 1 | 02/06/2017 | Customer Dispute | Denied | $26,560.10 | $0.00 | See FINRA Report |
| William Darryl Busch | 2631262 | 1 | 12/05/2016 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Seth Adam Radow | 1278347 | 4 | 11/07/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Andrew Joseph Whalen | 5179797 | 1 | 08/30/2016 | Customer Dispute | Denied | $7,839.00 | $0.00 | See FINRA Report |
| Rodrigo Diaz | 2387578 | 1 | 08/17/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jason R Watson | 4414439 | 8 | 08/01/2016 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Bert Thomas Bowler | 2485212 | 3 | 07/22/2016 | Customer Dispute | Final | $50,000.00 | $0.00 | See FINRA Report |
| Jason Scott Tinklenberg | 4583992 | 4 | 05/25/2016 | Customer Dispute | Settled | $256,527.00 | $0.00 | See FINRA Report |
| Jason Scott Tinklenberg | 4583992 | 4 | 04/14/2016 | Customer Dispute | Settled | $282,791.00 | $0.00 | See FINRA Report |
| Andrew Raymond Scheirer | 4256666 | 6 | 03/17/2016 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |