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 |
|---|---|---|---|---|---|---|---|---|
| Joseph William McCarthy | 1017415 | 4 | 09/23/2010 | Customer Dispute | Denied | $150,000.00 | $0.00 | See FINRA Report |
| Bradley Jay Salo | 1674662 | 1 | 05/19/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Elizabeth Ann Emr | 1001109 | 1 | 04/07/2010 | Customer Dispute | Denied | $13,000.00 | $0.00 | See FINRA Report |
| Anthony James Manganaro | 4530239 | 1 | 03/27/2010 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James John Hamer | 2351129 | 1 | 03/08/2010 | Customer Dispute | Denied | $12,620.00 | $0.00 | See FINRA Report |
| Clinton Lee Bauch | 2791047 | 1 | 02/08/2010 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| David Nathan Hale | 4340566 | 2 | 02/04/2010 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Gregory Allen Baldwin | 1476397 | 1 | 01/06/2010 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Joseph Paul Lucia | 4428262 | 9 | 11/27/2009 | Customer Dispute | Denied | $26,224.70 | $0.00 | See FINRA Report |
| Joseph Paul Lucia | 4428262 | 9 | 09/29/2009 | Customer Dispute | Denied | $22,474.00 | $0.00 | See FINRA Report |