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 |
|---|---|---|---|---|---|---|---|---|
| Robert Hamilton Hannan | 4712542 | 1 | 12/04/2014 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Blake Andrew Pratz | 1284166 | 2 | 11/03/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Andrew Howard Moss | 2503107 | 1 | 10/31/2014 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Richard Anthony Camacho | 5328612 | 1 | 10/06/2014 | Customer Dispute | Closed-No Action | $18,421.70 | $0.00 | See FINRA Report |
| Marc Steven Wolff | 2339538 | 1 | 10/01/2014 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Ben Howard Feldmeyer | 2431764 | 2 | 09/05/2014 | Customer Dispute | Denied | $13,588.80 | $0.00 | See FINRA Report |
| Sean M Moore | 4314987 | 2 | 07/24/2014 | Customer Dispute | Settled | $24,829.00 | $0.00 | See FINRA Report |
| Raymond Ambrose Daigle | 4206671 | 1 | 06/23/2014 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |
| Micah Kenneth Keel | 4270312 | 1 | 05/14/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Harpreet Singh Mangat | 4442530 | 2 | 05/02/2014 | Customer Dispute | Award / Judgment | $488,000.00 | $200,000.00 | See FINRA Report |