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 |
|---|---|---|---|---|---|---|---|---|
| Donald Pete Peterson | 4402496 | 3 | 11/26/2008 | Customer Dispute | Denied | $14,000.00 | $0.00 | See FINRA Report |
| Brian Scott Smith | 4139103 | 1 | 11/19/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Chad Carey Newcomb | 2724593 | 2 | 10/30/2008 | Customer Dispute | Denied | $6,000.00 | $0.00 | See FINRA Report |
| Mark A Johnson | 2842194 | 4 | 10/16/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Joseph Paul Lucia | 4428262 | 9 | 10/06/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Stephen Lynn Garrett | 2146125 | 3 | 10/02/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Douglas Emitte | 2594396 | 4 | 09/09/2008 | Customer Dispute | Denied | $51,368.00 | $0.00 | See FINRA Report |
| Sean E Davis | 4840930 | 1 | 08/20/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Annunziata | 718310 | 1 | 08/06/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joseph Paul Lucia | 4428262 | 9 | 08/01/2008 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |