Soreide Law Group, PLLC, a Securities Arbitration Law Firm, (888) 760-6552, found the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, March, 2013.”
Glen Edward Smith Jr. (CRD #1023145, Registered Principal, Lake Worth, Florida)
was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Smith consented to the described sanction and to the entry of findings that he failed to respond to FINRA requests to appear and testify regarding information needed regarding his disclosed outside business activity, and his involvement in its sale of the entity’s collateralized notes.
FINRA's findings stated that Smith’s failure to respond impeded FINRA’s investigation and prevented FINRA from completing its regulatory responsibility to fully investigate potential rule violations.
(FINRA Case #2011028081101)
The following information is from FINRA's BrokerCheck:
Glen Edward Smith Jr was previously registered with FINRA at the following brokerage firms:
CAPSTONE PARTNERS, L.C.
CRD# 35784
ATLANTA, GA
04/1999 - 03/2011
HARDMAN FINANCIAL SERVICES, INC.
CRD# 35298
WEST PALM BEACH, FL
09/2000 - 04/2002
AMERICAN FIRST CAPITAL CORP.
CRD# 43751
MIAMI, FL
05/2000 - 09/2000
This ends the information from FINRA’s website.
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