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 […]

Broker Brendan Shaw Allegedly Made Excessive, Unsuitable Trades Investor Alert! FINRA reports alarming information about Brendan Patrick Shaw [CRD#: 4721215, Scottsdale, Arizona]. Namely, Washington Securities Division sanctioned Shaw–a securities broker for Purshe Kaplan Sterling Investments (“PKS”) who also associated with Thomson Financial Advisors. Not only that, but at least 3 clients brought disputes about him. […]

Purshe Kaplan, FINRA Investigate Brian Bogart For Involvement In Private Fund Soreide Law Group is reviewing possible investor disputes against securities broker Brian Bogart (CRD#: 1186538, McLean, Virginia). Notably, Bogart’s Financial Industry Regulatory Authority (“FINRA”) BrokerCheck profile discloses two regulatory events, two bad employment breakups, and at least twelve client disputes. Here’s a brief summary […]

FINRA Affirms Bar Of PKS’ Gopi Krishna Vungarala For Fraud Gopi Krishna Vungarala (CRD#: 4856193, Midland, Michigan) has been a registered representative of Purshe Kaplan Sterling Investments from December 13, 2007 to February 21, 2017. Financial Industry Regulatory Authority (“FINRA”) National Adjudicatory Council has issued a Decision #2014042291901 on October 2, 2018 which affirms FINRA’s […]