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 Bradley Ayer | 3187634 | 2 | 01/09/2014 | Customer Dispute | Final | $603,736.00 | $0.00 | See FINRA Report |
| John Stanley Tuve | 1190043 | 4 | 03/16/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Tracy Lee Reierson | 4847342 | 1 | 02/27/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Stanley Tuve | 1190043 | 4 | 10/05/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Stanley Tuve | 1190043 | 4 | 05/31/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ryan Nicholas Shubin | 4367965 | 2 | 05/26/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Vahan Serimian | 4514895 | 2 | 01/09/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Carl J Kipper | 4298886 | 2 | 02/01/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Harold Edward Jones | 4438291 | 2 | 09/06/2007 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Flynn Ajango | 1273248 | 3 | 09/05/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |