RedFlag, Allegation and/or Complaint against Christopher James Smith
Disclosure #1 for Christopher Smith
- Event Date: 7/2/2014
- Disclosure Type: Criminal
- Disclosure Resolution: Final Disposition
- Disclosure Detail :: Criminal Charges :: Charges: Retail Theft-Take Mdse.
- Disposition: Nolo Contendere/Probation Without Verdict
- Broker Comment: My action was the result of a foolish and immature post college dare. No harm was intended and an important \Life Lesson\ was learned.
Should I file a FINRA complaint against brokers like Christopher James Smith?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
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