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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Owen Morris | 4246536 | 1 | 04/17/2007 | Customer Dispute | Denied | $9,657.00 | $0.00 | See FINRA Report |
| Gerald William Hall | 2566131 | 1 | 12/01/2006 | Customer Dispute | Denied | $5,455.00 | $0.00 | See FINRA Report |
| Mike Scott Saul | 2639925 | 2 | 10/30/2006 | Customer Dispute | Denied | $8,750.00 | $0.00 | See FINRA Report |
| Josephus L Teurlings | 4494404 | 1 | 10/02/2006 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ronald Julius Church | 1431285 | 1 | 07/19/2006 | Customer Dispute | Denied | $6,250.00 | $0.00 | See FINRA Report |
| Douglas Warren Teubert | 1017361 | 2 | 06/19/2006 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Jack Matthew Cayce | 4189311 | 2 | 04/06/2006 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Baldwin Morgan | 2914803 | 2 | 03/31/2006 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| George Ronald Hoos | 2306963 | 2 | 12/27/2005 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Philip Edwin Smith | 4231653 | 1 | 09/23/2005 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |