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 |
|---|---|---|---|---|---|---|---|---|
| Brian Albert Nolan | 1583485 | 5 | 06/18/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Lincoln Paul Kopetski | 3186668 | 1 | 01/04/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joshua Wright Goulding | 5349401 | 1 | 08/15/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Sharone Hakman | 4167890 | 5 | 06/29/2011 | Customer Dispute | Denied | $14,000.00 | $0.00 | See FINRA Report |
| Brian Isadore Pultman | 2348657 | 4 | 05/20/2011 | Customer Dispute | Denied | $68,255.00 | $0.00 | See FINRA Report |
| Peter Jerome Mersberger | 2372186 | 4 | 05/18/2011 | Customer Dispute | Denied | $85,000.00 | $0.00 | See FINRA Report |
| Phillip K Knight | 4885562 | 1 | 11/29/2010 | Customer Dispute | Denied | $600,000.00 | $0.00 | See FINRA Report |
| Alec Frank Price | 1960195 | 1 | 11/18/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Richard Joseph Smith | 1338524 | 1 | 11/16/2010 | Customer Dispute | Denied | $8,074.00 | $0.00 | See FINRA Report |
| Gerald Anthony Camera | 1833309 | 2 | 11/03/2010 | Customer Dispute | Denied | $150,000.00 | $0.00 | See FINRA Report |