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 |
|---|---|---|---|---|---|---|---|---|
| Sean Anthony Lehmann | 2407155 | 2 | 09/16/2009 | Customer Dispute | Denied | $14,000.00 | $0.00 | See FINRA Report |
| Boris Foxman | 2982776 | 1 | 09/14/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jared Michael Cohen | 4467148 | 1 | 08/07/2009 | Customer Dispute | Denied | $18,000.00 | $0.00 | See FINRA Report |
| Robert Edward Holland | 819275 | 3 | 08/06/2009 | Customer Dispute | Denied | $45,763.00 | $0.00 | See FINRA Report |
| William Torey Carr | 3242989 | 2 | 05/15/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Mark A Johnson | 2842194 | 4 | 04/20/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| William Torey Carr | 3242989 | 2 | 04/06/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Joseph Paul Lucia | 4428262 | 9 | 03/04/2009 | Customer Dispute | Denied | $17,000.00 | $0.00 | See FINRA Report |
| John Fleming Reutemann | 374456 | 8 | 02/23/2009 | Customer Dispute | Denied | $5,776.27 | $0.00 | See FINRA Report |
| Geoffrey Gene Russell | 4962089 | 1 | 01/30/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |