Brian Smit - Financial Advisor Brian Smit Discharged by LPL Financial, LLC
Goodman & Nekvasil P.A., May Recover Investor Losses | Brian Smit - Financial Advisor Brian Smit Discharged by LPL Financial, LLC
Brian Smit aka Brian David Smit CRD #5767978
From 2010 until Brian Smit’s firing in 2015, Brian Smit was licensed with LPL Financial, LLC. According to FINRA’s records, Brian Smit was fired by LPL Financial, LLC on August 3, 2015. LPL Financial, LLC reported to FINRA that Brian Smit was fired for participation in unapproved investments in violation of firm policy.
Subsequent to Brian Smit’s firing, FINRA brought a disciplinary action against Brian Smit. Brian Smit consented to a bar from the securities industry. FINRA reports that Brian Smit consented to the entry of findings that Brian Smit refused to appear for the on-the-record testimony requested by FINRA related to allegations that Brian Smit participated in an unapproved private securities transaction.
If you lost any money on investments with Brian Smit, you may be able to recover your losses from LPL Financial, LLC. This is because LPL Financial, LLC had a duty to supervise Brian Smit.
If you lost money on investments with Brian Smit and believe that the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against LPL Financial, LLC, concerning Brian Smit’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $170 million on behalf of victimized investors. If you lost money on any other investments with Brian Smit and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
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