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 |
|---|---|---|---|---|---|---|---|---|
| Roy David Gutierrez | 1007996 | 3 | 03/27/2003 | Customer Dispute | Denied | $750,000.00 | $0.00 | See FINRA Report |
| Darren Robert Mueller | 2592111 | 1 | 03/24/2003 | Customer Dispute | Denied | $11,412.00 | $0.00 | See FINRA Report |
| James Scott Arnold | 1568254 | 3 | 02/21/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Caputo | 1375074 | 1 | 02/14/2003 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| David Leonard van Overeem | 3186424 | 2 | 09/30/2002 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| John Fleming Reutemann | 374456 | 8 | 08/07/2002 | Customer Dispute | Denied | $52,000.00 | $0.00 | See FINRA Report |
| Steven Alan Wagner | 825793 | 6 | 07/17/2002 | Customer Dispute | Denied | $120,000.00 | $0.00 | See FINRA Report |
| Clinton Wayne Cooper | 2842323 | 3 | 06/12/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark Clifford Logan | 2501428 | 1 | 06/04/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Steven Scott Novick | 2187676 | 3 | 05/29/2002 | Customer Dispute | Denied | $300,000.00 | $0.00 | See FINRA Report |