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 | 7 | 10/15/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jason Michael Orsky | 5652030 | 1 | 02/08/2021 | 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 | |
| Ross Edwin Carson | 4484587 | 1 | 10/17/2019 | 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 | |
| James Peter Caplis | 1080886 | 2 | 08/30/2019 | 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 | |
| Anthony Lee Miller | 2532552 | 2 | 11/14/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kurt James Halverstadt | 1829540 | 9 | 10/17/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sean Anthony Lehmann | 2407155 | 4 | 07/19/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |