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 |
|---|---|---|---|---|---|---|---|---|
| Brian Albert Nolan | 1583485 | 5 | 12/09/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Harold Edward Jones | 4438291 | 2 | 09/08/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William David Woodmansee | 1857491 | 3 | 08/18/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kurt James Halverstadt | 1829540 | 9 | 08/17/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brian Albert Nolan | 1583485 | 5 | 03/12/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kurt James Halverstadt | 1829540 | 9 | 03/05/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jason R. Watson | 4414439 | 8 | 01/13/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| George Flurence Crowley | 1157117 | 3 | 05/13/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kurt James Halverstadt | 1829540 | 9 | 02/11/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kurt James Halverstadt | 1829540 | 9 | 01/30/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |