One or more investors possibly experienced losses because of securities broker Richard Wayne Gibson (also known as Rich Gibson) [CRD: 5352063, Long Beach, California], according to disclosures on FINRA BrokerCheck. Gibson has worked for Purshe Kaplan Sterling Investments since January 2, 2014, and for Global View Capital Management LLC since January 2, 2014. Read below […]

Investors potentially experienced sales practice violations because of securities broker Colleen Alice Maron [CRD: 2211633, Albany, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Colleen Maron worked for Purshe Kaplan Sterling Investments from October 27, 2016 to December 31, 2023. Below, individuals can understand more about the client dispute disclosures involving […]

One or more investors apparently complained about securities broker Victoria Thu-Van Pazzalia (also known as Vicky Pazzalia, Victoria Nguyen, and Vicky Nguyen) [CRD: 5920806, Vienna, Virginia], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Pazzalia worked for McAdam LLC beginning October 3, 2014, and for Madison Avenue Securities LLC from January 3, 2025. […]

Investors possibly experienced sales practice violations because of securities broker William Stuart Horak (also known as Bill Horak) [CRD: 1462594, Tallahassee, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Horak has worked with Purshe Kaplan Sterling Investments since May 5, 2014, and Wealth Management Corporation since November 26, 1990. Below, investors […]

Investors might have sustained losses because of securities broker Larry Richard Hancock [CRD: 1514911, Federal Way, Washington], according to disclosures on FINRA BrokerCheck. Apparently, Hancock worked for Purshe Kaplan Sterling Investments from December 3, 2010, to January 2, 2020. He currently operates as President of ProActive Retirement Solutions and also serves as an investment adviser […]

Investors potentially sustained damages through securities broker John William Wolf [CRD: 1846080, Appleton, Wisconsin], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, John Wolf worked for Purshe Kaplan Sterling Investments from November 20, 2009, to January 29, 2016. Below, you’ll find a summary of John Wolf’s disclosures. Cornerstone Financial Planning Investor Accused […]

Investors might have sustained losses due to William Henry Weisbrod [CRD: 812664, Fairfield, New Jersey], and FINRA and a New Jersey regulator barred the securities broker. Evidently, William Weisbrod worked for Purshe Kaplan Sterling Investments from April 27, 2009, to February 18, 2021. Keep reading to learn more about the disclosures surrounding Weisbrod’s professional conduct. […]

Securities broker Lilia Nia [CRD: 6018019, Fairfield, New Jersey], who worked for Purshe Kaplan Sterling Investments from 2013 to 2021, discloses regulatory sanctions and investor disputes on FINRA BrokerCheck. Read on to learn more about these disclosures. Suspension Imposed By New Jersey Bureau Of Securities On January 15, 2023, the New Jersey Bureau of Securities […]

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 […]