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 |
|---|---|---|---|---|---|---|---|---|
| Jennifer Ann Berner | 4436389 | 1 | 03/26/2007 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Steven Scott Novick | 2187676 | 3 | 10/12/2006 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jackson Robert Paulishak | 2597335 | 2 | 02/10/2006 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mark Demosthenes Generales | 854190 | 3 | 07/14/2003 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Joseph Lynch | 1264243 | 1 | 08/30/2001 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Daniel James O'Shea | 2992633 | 2 | 11/02/2000 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Vincent Frank Gauci | 1046132 | 3 | 10/02/1998 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Donald Edward Conrad | 732579 | 8 | 10/02/1997 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Todd Hoyt Hicks | 1272847 | 3 | 05/19/1989 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David Alexander Porro | 1064674 | 2 | 12/18/1984 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |