Brenda Ann Smith – CV Brokerage – Private Securities Transactions
Are you concerned with investments made with former financial advisor Brenda Ann Smith & CV Brokerage? If so, the securities attorneys at The White Law Group may be able to help you.
According to a Letter of Acceptance, Waiver & Consent posted on FINRA’s website this week, the regulator has reportedly barred Brenda Ann Smith from associating with any FINRA member at any time.
Without admitting or denying the findings, Smith reportedly consented to the sanction and to the entry of findings that “she refused to provide documents and information requested by FINRA in connection with an ongoing FINRA investigation into potential misstatements about the financial performance of an investment fund that were made during the course of private securities transactions in which she participated.”
According to Smith’s broker report, she was registered with CV Brokerage in West Conshohocken, PA for 9 years. Last month, Smith reportedly voluntarily resigned from her position for “Non-compliance with FINRA Rules 8210 and 2010 in that Ms. Smith failed to provide documents and information requested in connection with a FINRA investigation into potential misstatements about the financial performance of an investment fund that were made during the course of private securities transactions in which Ms. Smith participated.”
Failure to supervise
The White Law Group is investigating the liability that Smith’s former employer, may have for failure to supervise her.
If a registered broker breaks FINRA rules, the brokerage firm may still be liable for negligent supervision of their broker representative and may be responsible for investment losses in a FINRA dispute resolution claim.
If you are concerned about your investments with Brenda Smith, the securities fraud attorneys of The White Law Group may be able to help. For a free consultation with a securities attorney, please call 888-637-5510.
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Franklin, Tennessee.
For more information on The White Law Group, visit www.WhiteSecuritiesLaw.com.