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 |
|---|---|---|---|---|---|---|---|---|
| Bradley Trent Covey | 2758177 | 3 | 06/04/2001 | Customer Dispute | Settled | $10,000,000.00 | $0.00 | See FINRA Report |
| William David Woodmansee | 1857491 | 3 | 09/06/2000 | Customer Dispute | Settled | $183,000.00 | $0.00 | See FINRA Report |
| Jackson Robert Paulishak | 2597335 | 2 | 08/04/2000 | Customer Dispute | Settled | $37,350.70 | $0.00 | See FINRA Report |
| Steven Marc Weitz | 2731399 | 4 | 05/26/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Daniel James O'Shea | 2992633 | 2 | 05/16/2000 | Customer Dispute | Settled | $95,000.00 | $0.00 | See FINRA Report |
| Robert Arthur Morin | 2384249 | 1 | 05/02/2000 | Customer Dispute | Settled | $28,456.00 | $0.00 | See FINRA Report |
| Sean Anthony Lehmann | 2407155 | 2 | 09/30/1999 | Customer Dispute | Settled | $37,400.00 | $0.00 | See FINRA Report |
| Steven Edward Bernier | 1919592 | 1 | 09/01/1999 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| John Donald Wells | 1402738 | 1 | 06/11/1999 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Dennis Russell Colavito | 732893 | 5 | 09/23/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |