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 |
|---|---|---|---|---|---|---|---|---|
| Donald Edward Conrad | 732579 | 8 | 11/01/2004 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| David Richard Chepauskas | 2033478 | 2 | 10/13/2004 | Customer Dispute | Settled | $750,000.00 | $0.00 | See FINRA Report |
| Peter J Oneill | 2307086 | 1 | 09/13/2004 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Steven Marc Weitz | 2731399 | 4 | 07/07/2004 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Clinton Wayne Cooper | 2842323 | 3 | 04/24/2004 | Customer Dispute | Settled | $838,000.00 | $0.00 | See FINRA Report |
| Frederick Henry Hensler | 1988513 | 2 | 04/21/2004 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Donald Edward Conrad | 732579 | 8 | 02/26/2004 | Customer Dispute | Settled | $268,420.00 | $0.00 | See FINRA Report |
| Roy Leon Matlock | 1241763 | 2 | 10/27/2003 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Donald Edward Conrad | 732579 | 8 | 05/16/2003 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Joseph Augustine Connor | 2599157 | 1 | 05/01/2003 | Customer Dispute | Settled | $6,000,000.00 | $0.00 | See FINRA Report |