Mark has either represented advisers and brokers, consulted with or been involved in litigation or arbitration with or against the following firms:

    1. Ameriprise
    2. Questar Capital
    3. Woodbury
    4. RBC Dain
    5. Wells Fargo
    6. Thrivent
    7. Lutheran Brotherhood
    8. Primevest
    9. Feltl & Co.
    10. Workman Securities
    11. Northland Securities
    12. Focus Financial
    13. Capital Consulting Group
    14. Securus
    15. Strategic Wealth/RWMG
    16. Independent Investment Advisors
    17. Oxford, Trevor Cook Ponzi
    18. Amiot Financial
    19. Capital Formation Strategies
    20. Rocket Capital Management
    21. FMG
    22. Oaks Financial
    23. Fountain Financial
    24. CMP Equities
    25. Intrinsic Value Capital Management
    26. McKinney Financial Management
    27. SNS Financial
    28. Plan for Life
    29. Capital Professional Advisors
    30. Askar Corp.
    31. Emergent
    32. MHS
    33. Lazy Deuce
    34. Waterstone Capital Management, LP
    35. RIA Advisory Group
    36. Caissa Wealth Strategies
    37. Allstate Financial Services
    38. Northwestern Mutual Financial Services
    39. Raymond James
    40. Cetera Advisors
    41. LPL
    42. UBS
    43. Morgan Stanley
    44. Met Life
    45. Fidelity
    46. Primerica
    47. State Farm
    48. TD Ameritrade
    49. Scottrade
    50. TradePMR
    51. Schwab
    52. ING
    53. AXA Equitable
    54. Edward Jones
    55. Royal Alliance
    56. Waddell & Reed
    57. Robert W. Baird
    58. Cambridge Investment Research
    59. Next Financial
    60. Phoenix variable life
    61. Eide Bailly Financial Services
    62. SagePoint
    63. Multi-Financial Services
    64. 1st Global Capital
    65. Transamerica Financial Advisors
    66. Ameritas Investment Corp.
    67. Lincoln Financial Securities
    68. CUNA
    69. Western Int’l Securities
    70. Girard Securities
    71. QA3
    72. Sammons
    73. Ausdal Financial Partners
    74. ProEquities
    75. NFP
    76. Horace Mann
    77. Foresters Equity Services
    78. IFS Securities
    79. Madison Avenue Securities
    80. Private Placement Capital Notes, II
    81. Waveland Capital
    82. Broker Dealer Financial Services
    83. Regan Investments
    84. InterCarolina
    85. Blue Water Holdings Group
    86. Contego Capital
    87. East West
    88. Heritage
    89. Durand Financial
    90. Long Term Care Ins. Advisors
    91. Context Financial
    92. AdvisorNet
    93. Vincent
    94. Bixby
  • Mark has advised or consulted with clients or prospects or directly or indirectly communicated with regulators, or in some other way helped others having something to do with the following states.
    • Arizona
    • Colorado
    • Delaware
    • Georgia
    • Illinois
    • Iowa
    • Kansas
    • Massachusettes
    • Minnesota
    • Missouri
    • Montana
    • New Jersey
    • New York
    • North Dakota
    • North Carolina
    • Oklahoma
    • Ohio
    • Pennsylvania
    • South Dakota
    • Texas
    • Washington
    • Wisconsin