Articles Tagged with Tonya Nicole Smoake

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FINRA has suspended former Purshe Kaplan Sterling broker Tonya Nicole Smoake from the securities industry for 12 months for participating in private securities transactions without her firm’s knowledge or approval.

Smoake was also fined $5,000. She is no longer associated with a FINRA member but remains subject to FINRA’s jurisdiction.

If you have lost money with Tonya Nicole Smoake, or Purshe Kaplan Sterling, contact New York securities arbitration lawyers Iorio Altamirano LLP for a free and confidential evaluation of your account.

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