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 |
|---|---|---|---|---|---|---|---|---|
| Craig Michael Anderson | 1707316 | 1 | 04/23/2002 | Customer Dispute | Denied | $2,000.00 | $0.00 | See FINRA Report |
| Bert Thomas Bowler | 2485212 | 3 | 04/08/2002 | Customer Dispute | Denied | $218,000.00 | $0.00 | See FINRA Report |
| Robert Francis Monahan | 1997136 | 1 | 01/31/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Matthew Gibson Presjak | 1767195 | 5 | 01/28/2002 | Customer Dispute | Denied | $89,800.00 | $0.00 | See FINRA Report |
| Roy David Gutierrez | 1007996 | 3 | 08/27/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jay Christopher Fong | 3242313 | 2 | 04/17/2001 | Customer Dispute | Denied | $9,385.17 | $0.00 | See FINRA Report |
| George Ronald Hoos | 2306963 | 2 | 03/13/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brian Patrick Sullivan | 2346836 | 2 | 01/04/2001 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Donald Dwayne Duncan | 2399677 | 1 | 11/13/2000 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Stephen Dale Anderson | 2507388 | 1 | 10/12/2000 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |