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 | 9 | 06/05/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Dennis Fadling | 2181133 | 4 | 12/12/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Dennis Fadling | 2181133 | 4 | 10/12/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Dennis Fadling | 2181133 | 4 | 10/09/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Peter Caplis | 1080886 | 2 | 04/14/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jason R. Watson | 4414439 | 8 | 11/30/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ryan James Barnett | 6010715 | 1 | 11/22/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jason R. Watson | 4414439 | 8 | 06/03/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Douglas Emitte | 2594396 | 5 | 05/10/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Douglas Emitte | 2594396 | 5 | 05/10/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |