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 |
|---|---|---|---|---|---|---|---|---|
| Todd Hoyt Hicks | 1272847 | 3 | 05/26/2006 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| John Fleming Reutemann | 374456 | 8 | 12/16/2005 | Customer Dispute | Settled | $670,000.00 | $0.00 | See FINRA Report |
| Frederick Henry Hensler | 1988513 | 2 | 10/25/2005 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Allen James Rogers | 1134726 | 2 | 08/04/2005 | Customer Dispute | Settled | $5,500.00 | $0.00 | See FINRA Report |
| Sharone Hakman | 4167890 | 5 | 07/15/2005 | Customer Dispute | Settled | $5,250.00 | $0.00 | See FINRA Report |
| Raymond Dean Piccirillo | 2087302 | 3 | 04/14/2005 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Brian Isadore Pultman | 2348657 | 4 | 01/10/2005 | Customer Dispute | Settled | $10,000,000.00 | $0.00 | See FINRA Report |
| John Peter Purcell | 1664678 | 5 | 01/04/2005 | Customer Dispute | Settled | $122,000.00 | $0.00 | See FINRA Report |
| Robert Edward Lampe | 2397314 | 1 | 11/10/2004 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| Dino Joseph MacAluso | 1496076 | 2 | 11/02/2004 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |