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 |
|---|---|---|---|---|---|---|---|---|
| Audra Kearney Higgins | 5654262 | 2 | 03/08/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Theodore Richard Agrillo | 2288330 | 1 | 12/31/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Lewis Sadino | 6038576 | 1 | 03/25/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Caleb Dean Thomas | 7219814 | 1 | 11/10/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jason Alexander Lipka | 2675564 | 1 | 04/01/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Roy Leon Matlock | 1241763 | 2 | 03/24/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Vincent Frank Gauci | 1046132 | 3 | 02/17/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Taylor Fielder | 5134860 | 1 | 12/06/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mark William Thatcher | 4470726 | 3 | 11/11/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Theodore Martin Riehle | 1053690 | 2 | 11/15/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |