GREENWOOD VILLAGE, COLORADO Have you lost money with financial advisor Mark Smith, formerly with TransAmerica Financial Advisors and now with Purshe Kaplan Sterling in Greenwood Village, Colorado? We are looking into allegations made against Mark Smith, who was allowed to “voluntarily” resign from TransAmerica Financial Advisors while it was investigating Smith regarding allegations of an unauthorized transaction in a customer’s checking account.

Mark Smith was with TransAmerica Financial Advisors from 2012 to July 2021. He has worked at branch offices in Greenwood Village, Colorado.

Brokerage firms like TransAmerica Financial Advisors have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Colorado. Our attorneys have recovered millions of dollars for investors against many brokerage firms in the past, including against TransAmerica Financial Advisors.

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If you lost money with Mark Smith or TransAmerica Financial Advisors, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.