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 |
|---|---|---|---|---|---|---|---|---|
| Mark Filardi | 1698476 | 2 | 06/23/2000 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Mark A Johnson | 2842194 | 4 | 06/19/2000 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Kurt James Halverstadt | 1829540 | 10 | 12/06/1999 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Daryl David Eckman | 1614453 | 4 | 11/01/1999 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Theodore Martin Riehle | 1053690 | 2 | 04/07/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Donald Edward Conrad | 732579 | 8 | 11/11/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Dennis Russell Colavito | 732893 | 5 | 08/21/1997 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |