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 |
|---|---|---|---|---|---|---|---|---|
| Louis Joseph Czerwinski | 4720221 | 1 | 08/09/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Stephen T Tu | 5565787 | 2 | 06/19/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Daniel Ross Schmieder | 727985 | 2 | 01/03/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joseph Frederick Eschleman | 3237843 | 3 | 04/26/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael James Dejulio | 5168978 | 4 | 03/30/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Gary Wayne Ott | 826866 | 3 | 01/08/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Seth Adam Radow | 1278347 | 4 | 11/11/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Salvatore Bonetti | 4494241 | 4 | 01/14/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brian Vahan Serimian | 4514895 | 2 | 09/14/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Tony Saemai | 5119801 | 2 | 07/10/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |