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. Piper Sandler & Co.
    14. Capital Consulting Group
    15. Securus
    16. Strategic Wealth/RWMG
    17. Independent Investment Advisors
    18. Oxford, Trevor Cook Ponzi
    19. Amiot Financial
    20. Capital Formation Strategies
    21. Rocket Capital Management
    22. FMG
    23. Oaks Financial
    24. Fountain Financial
    25. CMP Equities
    26. Intrinsic Value Capital Management
    27. McKinney Financial Management
    28. SNS Financial
    29. Plan for Life
    30. Capital Professional Advisors
    31. Askar Corp.
    32. Emergent
    33. MHS
    34. Lazy Deuce
    35. Waterstone Capital Management, LP
    36. RIA Advisory Group
    37. Caissa Wealth Strategies
    38. Allstate Financial Services
    39. Prudential
    40. Northwestern Mutual Financial Services
    41. Raymond James
    42. Cetera Advisors
    43. LPL
    44. UBS
    45. Morgan Stanley
    46. Met Life
    47. Fidelity
    48. Primerica
    49. State Farm
    50. TD Ameritrade
    51. Scottrade
    52. TradePMR
    53. Schwab
    54. ING
    55. AXA Equitable
    56. Edward Jones
    57. Royal Alliance
    58. Waddell & Reed
    59. Robert W. Baird
    60. Cambridge Investment Research
    61. Next Financial
    62. Phoenix variable life
    63. Eide Bailly Financial Services
    64. SagePoint
    65. Multi-Financial Services
    66. 1st Global Capital
    67. Transamerica Financial Advisors
    68. Ameritas Investment Corp.
    69. Lincoln Financial Securities
    70. CUNA
    71. Western Int’l Securities
    72. Girard Securities
    73. QA3
    74. Sammons
    75. Ausdal Financial Partners
    76. ProEquities
    77. NFP
    78. Horace Mann
    79. Foresters Equity Services
    80. IFS Securities
    81. Cabot Lodge
    82. Madison Avenue Securities
    83. Private Placement Capital Notes, II
    84. Waveland Capital
    85. Broker Dealer Financial Services
    86. Regan Investments
    87. InterCarolina
    88. Blue Water Holdings Group
    89. Contego Capital
    90. East West
    91. Heritage
    92. Durand Financial
    93. Long Term Care Ins. Advisors
    94. Context Financial
    95. AdvisorNet
    96. Vincent
    97. Bixby
    98. Spire
    99. Virtue
    100. Voya
    101. Benefit Funding Services
    102. Woodbridge Notes
    103. Capital Financial Services
    104. Vincent
    105. LTCi
    106. Valley Property Partners
    107. Davis & Jones, LLC
    108. Private Client Services
    109. Water Street
    110.  Virtix Investment Advisors
    111. Intercarolina
    112. Strategic Wealth Group
    113. Commonwealth
    114. Gallagher
    115. 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