FINRA Sanctions Nathan Plumb

Soreide Law Group is investigating possible investor claims against securities broker Nathan Plumb (also known as Nathan Marek Plumb) [CRD: 4598158, Madison, WI]. Evidently, FINRA sanctioned the securities broker, who worked for Lincoln Financial Advisors Corporation. Allegedly, Plumb engaged in an undisclosed outside business activity. Here is a brief summary of FINRA’s allegations against Nathan Plumb.

FINRA Sanctions Plumb For Outside Business Activities

Notably, on September 30, 2022, FINRA issued Case: 2020068210301, sanctioning Nathan Plumb for infractions. Specifically, Plumb was issued a 4-month suspension as a securities broker, meaning FINRA disallowed him from maintaining an association with FINRA-member firms. Also, the financial regulator issued him a fine in the amount of $10,000. Notably, FINRA alleged that Plumb engaged in an undisclosed outside business activity when he worked for Lincoln Financial Advisors Corporation. His activities reportedly included economic research and financial analysis to an investment advisory.

Plumb Terminated For Private Securities Transactions

Also, Wisconsin Capital Management LLC disaffiliated with Nathan Plumb on September 29, 2022. Allegedly, Plumb engaged in private securities transactions and an undisclosed outside business activity.

Lincoln Financial Advisors Corporation Disaffiliates With Plumb For Private Securities Transactions

Additionally, on September 9, 2020, Lincoln Financial Advisors Corporation disaffiliated with Nathan Plumb. Lincoln Financial Advisors Corporation alleged selling away and outside business activities.

Plumb’s Recent Employment Information

Plumb worked for Lincoln Financial Advisors Corporation in Madison, WI, as a securities broker from December of 2016 to October of 2020.

Did Lincoln Financial Advisors Corporation Securities Broker Nathan Plumb Cause You To Experience Damages?

Did you suffer damages by investing with Plumb? Reach out to Soreide Law Group at (888) 760-6552 and speak with a securities attorney about a possible recovery of your investment losses. Soreide Law Group, who has successfully recovered money for hundreds of investors in the United States, represents clients on a contingency fee basis and advances all costs. The firm will take the time to fully understand your situation and will carefully explain your legal options. Plumb and brokerage firms Plumb worked for deny any and all allegations of sales practice violations.