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Articles Posted in Pinnacle Wealth Management

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FINRA Bars Brian Smit Over Private Securities Transactions

The investment lawyers of Gana Weinstein LLP are investigating the regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against Brian Smit (Smit) formerly working out of the Sioux Falls, South Dakota office of LPL Financial LLC (LPL).  LPL terminated Smit in August 2015 stating that the broker engaged…

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