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 |
|---|---|---|---|---|---|---|---|---|
| Michael James Dejulio | 5168978 | 4 | 09/06/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael James Dejulio | 5168978 | 4 | 02/15/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jason Wayland Fain | 5592110 | 1 | 01/06/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Phillip John Flores | 7287865 | 1 | 10/07/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Connor James Greenberg | 6766810 | 2 | 03/06/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jordan Christopher Scallan | 7201414 | 1 | 01/27/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Samantha Lynn Miller | 6459508 | 1 | 02/27/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Justin T Taillon | 5421689 | 1 | 02/06/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brando Palazzo-Giorgio | 5778794 | 1 | 08/17/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Patrick Premock | 3176564 | 3 | 10/18/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |