Brenda Ann Smith (also known as Brenda Smith Peterman) of West Conshohocken Pennsylvania a stockbroker and investment advisor formerly associated with CV Brokerage Inc., Broad Reach Capital LP and Bristol Advisors LLC is named in a Securities and Exchange Commission (SEC) Complaint alleging that Smith and the companies she controlled had defrauded investors who purchased […]
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Tag Archives: Brenda Ann Smith
SEC Charges CV Brokerage Stockbroker With Fraud
March 26, 2020 | Posted by : Guiliano Law Group | Misappropriation of Funds, Ponzi Schemes, Securities Fraud, Stockbroker Theft | Comments Off on SEC Charges CV Brokerage Stockbroker With Fraud
CV Brokerage Stockbroker Barred In Investigation
July 22, 2019 | Posted by : Guiliano Law Group | Breach of Fiduciary Duty, Investment and Regulatory News, Misappropriation of Funds, Securities Arbitration Claims, Selling Away and Outside Activities, Stockbroker Theft, Unsuitable Investment Recommendations | Comments Off on CV Brokerage Stockbroker Barred In Investigation
Brenda Ann Smith (also known as Brenda Smith Peterman) of West Conshohocken Pennsylvania a stockbroker and principal formerly registered with CV Brokerage Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Smith neglected to cooperate with FINRA personnel during an investigation […]
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