Soreide Law Group is looking into possible investor claims against securities broker Joan Ella Burgio (also known as Joanie Burgio) (CRD: 5397635, Chevy Chase, Maryland). Particularly, FINRA sanctioned the securities broker, who worked for LPL Financial LLC. Allegedly, Burgio engaged in an undisclosed outside business activity. Here is a brief summary of FINRA’s allegations against […]

Soreide Law Group is investigating possible investor claims against Wenru Liang (also known as Wenru Liang) (CRD: 5157279, Columbia, Maryland). Evidently, FINRA sanctioned the securities broker, who worked for Transamerica Financial Advisors Inc. Here is a brief summary of FINRA’s allegations against Liang. FINRA Sanctions Wenru Liang Particularly, on February 12, 2021, FINRA issued Case: […]

Soreide Law Group is investigating possible investor claims against Tonya Smoake (also known as Tonya Nicole Smoake) (CRD: 4985049, New York, New York). Evidently, FINRA sanctioned the securities broker, who worked for Purshe Kaplan Sterling Investments. Allegedly, Smoake engaged in private securities transactions. Here is a brief summary of FINRA’s allegations against Smoake. Tonya Smoake […]

Soreide Law Group is investigating possible investor claims against Stewart Schram (also known as Stewart Irwin Schram) (CRD: 1711571, Northbrook, Illinois). Evidently, FINRA sanctioned the securities broker, who worked for Kingsbury Capital Inc. Allegedly, Schram engaged in an undisclosed outside business activity and in private securities transactions. Here is a brief summary of FINRA’s allegations […]

Soreide Law Group is investigating possible investor claims against Scott Hansen (also known as Scott Richard Hansen) (CRD: 2837763, Moab, Utah). Evidently, FINRA sanctioned the securities broker, who worked for LPL Financial LLC. Allegedly, Hansen engaged in an undisclosed outside business activity. Here is a brief summary of FINRA’s allegations against Hansen. FINRA Sanctions Scott […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Robert Mandau (also known as Bob Mandau) (CRD: 3247517, Willoughby Hills, OH). Not only has FINRA sanctioned Mandau for outside business activities, but investors disputed the sales practices of the securities broker. However, Mandau denies the allegations. Read on to learn more about […]

Soreide Law Group is investigating possible investor claims against Richard Shelley (also known as Richard Scott Shelly) (CRD: 2671545, Palm City, Florida). Evidently, FINRA sanctioned the securities broker, who worked for Packerland Brokerage Services Inc. Allegedly, Shelley engaged in private securities transactions. Here is a brief summary of FINRA’s allegations against Shelley. FINRA Sanctions Richard […]

Soreide Law Group is investigating possible investor claims against Lon Faccini (also known as Lon Charles Faccini Jr.) (CRD: 2736849, Coram, New York). Evidently, FINRA sanctioned the securities broker, who worked for Arive Capital Markets. Allegedly, Faccini engaged in excessive and unsuitable trading. Here is a brief summary of FINRA’s allegations against Faccini. However, remember […]

Soreide Law Group is investigating possible investor claims against Lang Nguyen (also known as Lang Phu Nguyen) (CRD: 6526189, Campton Hills, IL). Evidently, FINRA sanctioned the securities broker, who worked for Edward Jones. Allegedly, Nguyen engaged in discretionary trading. Here is a brief summary of FINRA’s allegations against Nguyen. However, keep in mind that Nguyen […]