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 |
|---|---|---|---|---|---|---|---|---|
| Lance Drucker | 1405843 | 2 | 08/29/2018 | Customer Dispute | Denied | $10,059.40 | $0.00 | See FINRA Report |
| Blaine Gordon Malcolm | 4180753 | 2 | 10/12/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Blaine Gordon Malcolm | 4180753 | 2 | 10/12/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Scott Arnold | 1568254 | 3 | 04/18/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Catherine Elizabeth Jenson | 6372463 | 1 | 02/06/2017 | Customer Dispute | Denied | $26,560.10 | $0.00 | See FINRA Report |
| Seth Adam Radow | 1278347 | 4 | 11/07/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Andrew Joseph Whalen | 5179797 | 1 | 08/30/2016 | Customer Dispute | Denied | $7,839.00 | $0.00 | See FINRA Report |
| Rodrigo Diaz | 2387578 | 1 | 08/17/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Justin Andrew Setzekorn | 4993315 | 1 | 03/01/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stephen T Tu | 5565787 | 2 | 02/18/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |