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 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 Nicholas Radke (also known as Randy Radke Jr.) (CRD: 2610246, Irvine, California). Notably, an Oregon regulator sanctioned the securities broker, who worked for American Independent Securities Group LLC. Allegedly, Radke made misrepresentations and omissions of material fact. Here is a brief summary of the regulatory allegations […]

Soreide Law Group is investigating possible investor claims against Mayur Dalal (also known as Mayur T. Dalal) (CRD: 1853077, New Hyde Park, New York). Evidently, FINRA sanctioned the securities broker, who worked for Kestra Investment Services LLC. Allegedly, Dalal failed to testify when FINRA investigated the securities broker for possible FINRA rule violations. Here is […]

Soreide Law Group is investigating possible investor claims against Jasmit Singh (also known as Jasmit Singh) (CRD: 6483304, New York, New York). Evidently, FINRA sanctioned the securities broker, who worked for J.P. Morgan Securities LLC. Allegedly, Singh engaged in private securities transactions and engaged in an undisclosed outside business activity. Here is a brief summary […]

Soreide Law Group is investigating possible investor claims against securities broker Robert Spencer (also known as Robert Jonathan Spencer) [CRD: 431878, Cheektowaga, NY]. Evidently, FINRA punished the securities broker, who worked for Cetera Advisor Networks LLC. Allegedly, Robert Spencer did not provide information and documents to FINRA when it investigated potential FINRA rule violations. Here […]

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 […]

Soreide Law Group is investigating possible investor claims against securities broker Michael Knittel (also known as Michael Murray Knittel) [CRD: 3274235, Dorado Hills, CA]. Evidently, FINRA sanctioned the securities broker, who worked for Fortune Financial Services Inc. Allegedly, Knittel engaged in private securities transactions. Also, an investor filed a dispute about him. Here is a […]