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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Joseph Garry | 2071478 | 1 | 04/28/2005 | Customer Dispute | Denied | $12,000.00 | $0.00 | See FINRA Report |
| William Patrick Premock | 3176564 | 3 | 04/28/2005 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Gino Carollo | 2778128 | 1 | 12/20/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stephen Lynn Garrett | 2146125 | 3 | 12/17/2004 | Customer Dispute | Denied | $98,287.00 | $0.00 | See FINRA Report |
| Stephen Lynn Garrett | 2146125 | 3 | 12/17/2004 | Customer Dispute | Denied | $59,115.00 | $0.00 | See FINRA Report |
| David Barclay Wilson | 1564158 | 1 | 11/10/2004 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Lee A Korn | 2944142 | 1 | 09/17/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Lance Drucker | 1405843 | 2 | 08/02/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark A Johnson | 2842194 | 4 | 06/29/2004 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Jeffrey Allen Gump | 3217954 | 1 | 08/01/2003 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |