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 |
|---|---|---|---|---|---|---|---|---|
| Francis Bernard Miller | 4815317 | 6 | 07/13/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Francis Bernard Miller | 4815317 | 6 | 06/25/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Francis Bernard Miller | 4815317 | 6 | 06/25/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Donald Pete Peterson | 4402496 | 3 | 11/20/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew Raymond Scheirer | 4256666 | 6 | 06/04/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Margarite Lynch | 5566456 | 1 | 02/24/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nedal Ziad Halawa | 3079765 | 1 | 02/22/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kari Ann Salerno | 5649224 | 1 | 11/16/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Danielle Marie Nadolski-Holley | 2508638 | 1 | 06/16/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kristen Lee Nunes | 6254464 | 1 | 04/28/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |