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 |
|---|---|---|---|---|---|---|---|---|
| William Henry French III | 1730784 | 1 | 08/14/1991 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Joanne Liakos Hackenburg | 1006977 | 2 | 04/25/1991 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Demosthenes Generales | 854190 | 3 | 09/14/1987 | Customer Dispute | Settled | $57,918.50 | $0.00 | See FINRA Report |
| Steven Alan Wagner | 825793 | 6 | 05/13/1987 | Customer Dispute | Settled | $16,000.00 | $0.00 | See FINRA Report |
| Michael Morris Mikeska | 1839037 | 1 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |