Tag Archives: Tonya Nicole Smoake

Purshe Kaplan Stockbroker Caught Selling Away

March 31, 2021  |   Posted by :   |   Investment and Regulatory News, Selling Away and Outside Activities   |   Comments Off on Purshe Kaplan Stockbroker Caught Selling Away

Tonya Nicole Smoake of Franklin Lakes New Jersey a stockbroker formerly registered with Purshe Kaplan Sterling Investments has been fined $5,000.00 and suspended for one year from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that she engaged in private securities transactions during the period that she was […]

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