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 |
|---|---|---|---|---|---|---|---|---|
| Justin Andrew Setzekorn | 4993315 | 1 | 03/01/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stephen T Tu | 5565787 | 2 | 02/18/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Carolyn Parenti-Pearson | 1508516 | 1 | 01/11/2016 | Customer Dispute | Denied | $22,513.90 | $0.00 | See FINRA Report |
| Seth Adam Radow | 1278347 | 4 | 12/10/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Stanley Tuve | 1190043 | 4 | 11/24/2015 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Clinton Wayne Cooper | 2842323 | 3 | 10/14/2015 | Customer Dispute | Withdrawn | $14,000.00 | $0.00 | See FINRA Report |
| Kevin William Woehler | 4446843 | 2 | 07/27/2015 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Kevin William Woehler | 4446843 | 2 | 06/29/2015 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Jeffrey Lane Davis | 1344594 | 3 | 03/25/2015 | Customer Dispute | Closed-No Action | $500,000.00 | $0.00 | See FINRA Report |
| John Peter Purcell | 1664678 | 5 | 03/19/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |