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 |
|---|---|---|---|---|---|---|---|---|
| Melissa Laura Cournyer | 6244893 | 1 | 06/06/2023 | Customer Dispute | Withdrawn | $87,000.00 | $0.00 | See FINRA Report |
| William Stuart Horak | 1462594 | 6 | 06/05/2021 | Customer Dispute | Withdrawn | $50,000.00 | $0.00 | See FINRA Report |
| Clinton Wayne Cooper | 2842323 | 3 | 10/14/2015 | Customer Dispute | Withdrawn | $14,000.00 | $0.00 | See FINRA Report |
| William Joseph Romeo | 1055149 | 1 | 04/12/2013 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Erik William Brenner | 2502052 | 1 | 08/30/2010 | Customer Dispute | Withdrawn | $15,000.00 | $0.00 | See FINRA Report |
| Steven Charles Erdal | 1111739 | 2 | 02/02/2010 | Customer Dispute | Withdrawn | $68,581.00 | $0.00 | See FINRA Report |
| Francis Albert Bautz | 3217237 | 2 | 04/21/2009 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Roger Edward Kiger | 2857337 | 1 | 12/11/2008 | Customer Dispute | Withdrawn | $450,000.00 | $0.00 | See FINRA Report |
| Richard Earl McElreath | 3034037 | 1 | 11/19/2008 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| John Joseph Brendel | 1804805 | 2 | 10/09/2008 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |