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 |
|---|---|---|---|---|---|---|---|---|
| Douglas Alfredo Solorzano | 2183007 | 2 | 06/03/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Marshall Mars | 1492554 | 2 | 08/01/1997 | Customer Dispute | Settled | $24,156.60 | $0.00 | See FINRA Report |
| Matthew Joseph Celenza | 2084613 | 2 | 05/02/1997 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Keith Owen Flood | 2001256 | 1 | 10/31/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Steven Alan Wagner | 825793 | 6 | 06/30/1994 | Customer Dispute | Settled | $308,044.00 | $0.00 | See FINRA Report |
| Steven Alan Wagner | 825793 | 6 | 06/24/1993 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| John Joseph Brendel | 1804805 | 2 | 04/23/1993 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Steven Alan Wagner | 825793 | 6 | 10/01/1992 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Donald Edward Conrad | 732579 | 8 | 09/26/1992 | Customer Dispute | Settled | $23,000.00 | $0.00 | See FINRA Report |
| Joanne Liakos Hackenburg | 1006977 | 2 | 09/23/1992 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |