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 |
|---|---|---|---|---|---|---|---|---|
| Carolyn Parenti-Pearson | 1508516 | 1 | 01/11/2016 | Customer Dispute | Denied | $22,513.90 | $0.00 | See FINRA Report |
| Blake Andrew Pratz | 1284166 | 2 | 11/03/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ben Howard Feldmeyer | 2431764 | 2 | 09/05/2014 | Customer Dispute | Denied | $13,588.80 | $0.00 | See FINRA Report |
| Micah Kenneth Keel | 4270312 | 1 | 05/14/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Zoltan Pongracz | 5982671 | 1 | 03/31/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Wayne Ray Wong | 3090301 | 1 | 06/03/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Erik Randall Wallin | 4406538 | 1 | 11/20/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Paul Andrew Squarcia | 4196537 | 1 | 11/20/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Nicholas Raymond Kraszyk | 5010874 | 1 | 11/08/2012 | Customer Dispute | Denied | $18,471.00 | $0.00 | See FINRA Report |
| Bradley Wayne Small | 2749932 | 4 | 10/17/2012 | Customer Dispute | Denied | $60,000.00 | $0.00 | See FINRA Report |