Brenda Smith, Formerly of CV Brokerage, Barred After Failing to Provide Requested Documents

The request came during an investigation into potential misconduct surrounding private securities transactions

If you lost money investing with CV Brokerage or Brenda Ann Smith, contact Sonn Law Group today or call 866–827–3202 for a free consultation on your case. Under FINRA Rules, brokerage firms are responsible for supervising the activity of their brokers and at the risk of liability to investors for failing to do so. You may be able to recover investment losses with the firm or its brokers through FINRA arbitration.

Brenda Ann Smith (CRD# 4348518) is a previously registered broker. From 2010 to 2019, Ms. Smith was a registered representative with CV Brokerage based in West Conshohocken, Pennsylvania.

According to her BrokerCheck report, Ms. Smith voluntarily resigned from her position with CV Brokerage following allegations that she failed to provide documents and information requested in connection with a FINRA investigation into potential misstatements, made during private securities transactions in which Ms. Smith took part, about the financial performance of an investment fund.

As a result of her failure to provide the requested information, FINRA also barred Ms. Smith from the securities industry (Letter of Acceptance, Waiver and Consent №2017052325901).

Prior to her registration with CV Brokerage, Ms. Smith was registered with Cretus Securities (2009–2011) and MC Securities (2012–2013), though she has been in the industry since 2006.

Jeffrey R. Sonn is an experienced investor losses attorney. If you suffered losses because a financial professional or corporate executive misappropriated funds, Mr. Sonn will protect your rights and interests. Please do not hesitate to contact the Sonn Law Group today for a free review of your claim.