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 |
|---|---|---|---|---|---|---|---|---|
| John Fleming Reutemann | 374456 | 8 | 08/19/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Heather J Gardner | 5882325 | 1 | 07/17/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael James Dejulio | 5168978 | 4 | 01/24/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Albert Nolan | 1583485 | 5 | 08/07/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Carlton Jerome Dick | 5639545 | 1 | 08/28/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Roger Primozich | 2731982 | 1 | 05/28/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Frederick Eschleman | 3237843 | 3 | 08/21/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Salvatore Bonetti | 4494241 | 4 | 10/19/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Salvatore Bonetti | 4494241 | 4 | 06/09/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gary Wayne Ott | 826866 | 3 | 02/25/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |