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 |
|---|---|---|---|---|---|---|---|---|
| Kurt James Halverstadt | 1829540 | 10 | 06/29/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Matthew Joseph Celenza | 2084613 | 2 | 06/13/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Donae Denise Thomas | 3065510 | 3 | 06/02/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Chad Carey Newcomb | 2724593 | 2 | 12/16/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Donae Denise Thomas | 3065510 | 3 | 12/16/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Emil Cear | 3009786 | 1 | 12/10/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Cynthia Anne D'Meo | 1275083 | 1 | 09/24/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brian Albert Nolan | 1583485 | 5 | 04/30/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kurt James Halverstadt | 1829540 | 10 | 10/17/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kurt James Halverstadt | 1829540 | 10 | 06/05/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |