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 |
|---|---|---|---|---|---|---|---|---|
| Jamie Bradley Millett | 2181997 | 4 | 01/16/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sean Anthony Lehmann | 2407155 | 4 | 11/26/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Douglas Warren Teubert | 1017361 | 4 | 09/20/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jamie Bradley Millett | 2181997 | 4 | 08/27/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Warren Long | 4399910 | 1 | 07/12/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kurt James Halverstadt | 1829540 | 9 | 05/23/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| George Flurence Crowley | 1157117 | 3 | 09/26/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Dennis Fadling | 2181133 | 4 | 09/22/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Douglas Warren Teubert | 1017361 | 4 | 07/21/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| George Flurence Crowley | 1157117 | 3 | 03/14/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |