Mark Smith, of Greenwood Village, Colorado, a stockbroker registered with Transamerica Financial Advisors Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim which settled for $40,000.00 in damages resulting from a crypto currency deal recommended by Smith when he was associated with Transamerica Financial Advisors. Financial Industry Regulatory Authority (FINRA)…
Mark Smith, of Greenwood Village, Colorado, a stockbroker formerly registered with Transamerica Financial Advisors Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Smith failed to cooperate in a FINRA investigation regarding allegations of his unauthorized transactions in customer accounts when he was…