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 |
|---|---|---|---|---|---|---|---|---|
| Eric Joseph Kiblen | 4125488 | 1 | 08/23/2023 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Heather J Gardner | 5882325 | 1 | 07/17/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brandon Ashley Horton | 4569003 | 1 | 06/22/2023 | Customer Dispute | Closed-No Action | $400,000.00 | $0.00 | See FINRA Report |
| Melissa Laura Cournyer | 6244893 | 1 | 06/06/2023 | Customer Dispute | Withdrawn | $87,000.00 | $0.00 | See FINRA Report |
| William Stuart Horak | 1462594 | 6 | 06/05/2023 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Donae Denise Thomas | 3065510 | 3 | 06/02/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Stuart Horak | 1462594 | 6 | 05/04/2023 | Customer Dispute | Settled | $199,000.00 | $0.00 | See FINRA Report |
| Donae Denise Thomas | 3065510 | 3 | 04/20/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Bradley Wayne Small | 2749932 | 4 | 04/18/2023 | Customer Dispute | Pending | $10,640.00 | $0.00 | See FINRA Report |
| Jeffrey Lewis Sadino | 6038576 | 1 | 03/25/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |