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 |
|---|---|---|---|---|---|---|---|---|
| Daryl David Eckman | 1614453 | 4 | 12/16/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Ryan Ballard | 6489752 | 2 | 09/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Ryan Ballard | 6489752 | 2 | 08/31/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Melissa Lynn Griffith | 6258906 | 1 | 07/31/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Jude Scallan | 2226313 | 1 | 04/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shikha Midha | 6736209 | 1 | 03/08/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daryl David Eckman | 1614453 | 4 | 02/15/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Audra Kearney Higgins | 5654262 | 2 | 12/19/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Demosthenes Generales | 854190 | 3 | 11/24/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ginella Marie Adlfinger | 6156915 | 1 | 10/17/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |