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 |
|---|---|---|---|---|---|---|---|---|
| Audra Kearney Higgins | 5654262 | 2 | 03/08/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Andrew Clifton Keller | 4682790 | 1 | 02/26/2024 | Customer Dispute | Pending | $140,000.00 | $0.00 | See FINRA Report |
| Michael Jerome Lickiss | 5135936 | 1 | 02/05/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Eric Scott Ruthman | 6281076 | 1 | 01/24/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Michael Christopher Rudio | 6322313 | 1 | 01/24/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Theodore Richard Agrillo | 2288330 | 1 | 12/31/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Nicholas Manning Hamilton | 4900895 | 1 | 12/22/2023 | Customer Dispute | Denied | $255,000.00 | $0.00 | See FINRA Report |
| Glynnis Reinhart | 4530036 | 1 | 12/21/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| William Stuart Horak | 1462594 | 6 | 12/13/2023 | Customer Dispute | Pending | $60,000.00 | $0.00 | See FINRA Report |
| Christopher Ronald Wells | 4630658 | 1 | 12/07/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |