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 | 03/17/2003 | Customer Dispute | Settled | $433,000.00 | $0.00 | See FINRA Report |
| Garland Brent Kizer | 4063668 | 1 | 01/22/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Matthew Gibson Presjak | 1767195 | 5 | 11/06/2002 | Customer Dispute | Settled | $42,500.00 | $0.00 | See FINRA Report |
| Matthew Gibson Presjak | 1767195 | 5 | 07/18/2002 | Customer Dispute | Settled | $102,750.00 | $0.00 | See FINRA Report |
| Jason Raymond Savey | 2941302 | 1 | 06/30/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Todd Hoyt Hicks | 1272847 | 3 | 01/22/2002 | Customer Dispute | Settled | $90,000.00 | $0.00 | See FINRA Report |
| Donald Edward Conrad | 732579 | 8 | 11/21/2001 | Customer Dispute | Settled | $900,000.00 | $0.00 | See FINRA Report |
| Peter Jerome Mersberger | 2372186 | 4 | 10/19/2001 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Dennis Russell Colavito | 732893 | 5 | 10/10/2001 | Customer Dispute | Settled | $110,000.00 | $0.00 | See FINRA Report |
| Michael Flynn Ajango | 1273248 | 3 | 07/03/2001 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |