Mark has either represented advisers and brokers, consulted with, or been involved in litigation or arbitration with or against the following firms:
-
- Ameriprise
- Questar Capital
- Woodbury
- RBC Dain
- Wells Fargo
- Thrivent
- Lutheran Brotherhood
- Primevest
- Feltl & Co.
- Workman Securities
- Northland Securities
- Focus Financial
- Piper Sandler & Co.
- Capital Consulting Group
- Securus
- Strategic Wealth/RWMG
- Independent Investment Advisors
- Oxford, Trevor Cook Ponzi
- Amiot Financial
- Capital Formation Strategies
- Rocket Capital Management
- FMG
- Oaks Financial
- Fountain Financial
- CMP Equities
- Intrinsic Value Capital Management
- McKinney Financial Management
- SNS Financial
- Plan for Life
- Capital Professional Advisors
- Askar Corp.
- Emergent
- MHS
- Lazy Deuce
- Waterstone Capital Management, LP
- RIA Advisory Group
- Caissa Wealth Strategies
- Allstate Financial Services
- Prudential
- Northwestern Mutual Financial Services
- Raymond James
- Cetera Advisors
- LPL
- UBS
- Morgan Stanley
- Met Life
- Fidelity
- Primerica
- State Farm
- TD Ameritrade
- Scottrade
- TradePMR
- Schwab
- ING
- AXA Equitable
- Edward Jones
- Royal Alliance
- Waddell & Reed
- Robert W. Baird
- Cambridge Investment Research
- Next Financial
- Phoenix variable life
- Eide Bailly Financial Services
- SagePoint
- Multi-Financial Services
- 1st Global Capital
- Transamerica Financial Advisors
- Ameritas Investment Corp.
- Lincoln Financial Securities
- CUNA
- Western Int’l Securities
- Girard Securities
- QA3
- Sammons
- Ausdal Financial Partners
- ProEquities
- NFP
- Horace Mann
- Foresters Equity Services
- IFS Securities
- Cabot Lodge
- Madison Avenue Securities
- Private Placement Capital Notes, II
- Waveland Capital
- Broker Dealer Financial Services
- Regan Investments
- InterCarolina
- Blue Water Holdings Group
- Contego Capital
- East West
- Heritage
- Durand Financial
- Long Term Care Ins. Advisors
- Context Financial
- AdvisorNet
- Vincent
- Bixby
- Spire
- Virtue
- Voya
- Benefit Funding Services
- Woodbridge Notes
- Capital Financial Services
- Vincent
- LTCi
- Valley Property Partners
- Davis & Jones, LLC
- Private Client Services
- Water Street
- Virtix Investment Advisors
- Intercarolina
- Strategic Wealth Group
- Commonwealth
- Gallagher
- Kubo
- Mark has advised or consulted with clients or prospects or directly or indirectly communicated with regulators or opposing counsel, or in some other way helped others having something to do with the following states.
- Alabama
- Arizona
- California
- Colorado
- Connecticut
- Delaware
- District of Columbia
- Florida
- Georgia
- Illinois
- Indiana
- Iowa
- Kansas
- Louisiana
- Maryland
- Massachusetts
- Michigan
- Minnesota
- Missouri
- Montana
- Nebraska
- Nevada
- New Jersey
- New York
- North Dakota
- North Carolina
- Oklahoma
- Ohio
- Pennsylvania
- Puerto Rico
- South Dakota
- South Carolina
- Tennessee
- Texas
- Virginia
- Washington
- Wisconsin