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 |
|---|---|---|---|---|---|---|---|---|
| Donae Denise Thomas | 3065510 | 3 | 04/20/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Daniel Neff | 2487025 | 1 | 12/05/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Francis Bernard Miller | 4815317 | 6 | 06/22/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Corrie Ann Blair | 2403185 | 3 | 06/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Corrie Ann Blair | 2403185 | 3 | 05/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Corrie Ann Blair | 2403185 | 3 | 04/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Stacy McPherson | 1229084 | 1 | 11/22/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Francis Bernard Miller | 4815317 | 6 | 09/19/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Megan Therese Carlson | 5574105 | 1 | 09/18/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Francis Bernard Miller | 4815317 | 6 | 09/27/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |