Tag Archives: Brian David Smit

LPL Financial Stockbroker Barred For Obstructing Investigation

Brian David Smit, of Sioux Falls, South Dakota, a stockbroker formerly registered with LPL Financial LLC, has been permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity after consenting to findings that he failed to cooperate in a FINRA investigation into allegations that Smit took part in private […]

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LPL Financial Stockbroker Barred in Selling Away Investigation

Brian David Smit, of Sioux Falls, South Dakota, a stockbroker with LPL Financial, LLC, was permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that he failed to cooperate with a FINRA investigation into allegations that Smit engaged in unauthorized private securities transactions. Letter of […]

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