According to a recent FINRA disciplinary announcement, Brian David Smit (CRD #5767978, Sioux Falls, South Dakota) submitted an AWC in he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Smit consented to the sanction and to the entry of findings that he refused to appear for FINRA on-the-record testimony related to allegations that he participated in an unapproved private securities transaction.
For the full FINRA findings, see FINRA Case #2015046720601.
According to Smit’s FINRA BrokerCheck, he was registered with LPL FINANCIAL from 04/2010 – 08/2015
The foregoing information, which is all publicly available on FINRA’s website, is being provided by The White Law Group. The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee.
For information on the firm and its representation of investors, visit https://whitesecuritieslaw.com.
For a free consultation with a securities attorney, please call 888-637-5510.Tags: Brian David Smit financial advisor, Brian David Smit FINRA investigation, Brian David Smit FINRA lawsuit, Brian David Smit LPL Financial, Brian David Smit Sioux Falls, Brian David Smit South Dakota Last modified: May 16, 2016