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 |
|---|---|---|---|---|---|---|---|---|
| Connor James Greenberg | 6766810 | 2 | 05/23/2024 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Nicholas Manning Hamilton | 4900895 | 1 | 12/22/2023 | Customer Dispute | Denied | $255,000.00 | $0.00 | See FINRA Report |
| Peter Ivan Michael Shusterman | 1460819 | 2 | 02/16/2021 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| David George Spence | 1384896 | 1 | 08/12/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Harpreet Singh Mangat | 4442530 | 2 | 02/04/2020 | Customer Dispute | Denied | $192,000.00 | $0.00 | See FINRA Report |
| Luis Marck Strohmeier | 1930000 | 2 | 10/30/2019 | Customer Dispute | Denied | $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 |
| Jason R Watson | 4414439 | 8 | 03/07/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ernest Lee Clark | 47505 | 1 | 01/14/2019 | Customer Dispute | Denied | $12,969.70 | $0.00 | See FINRA Report |