RedFlag, Allegation and/or Complaint against CLARENCE EDWIN SMART
Disclosure #1 for CLARENCE SMART
-
- Event Date: 8/28/2009
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Denied
- Disclosure Detail :: Allegations: WITH REGARD TO THE PURCHASE OF A VARIABLE ANNUITY IN OR AROUND APRIL OF 2001, THE CUSTOMER ALLEGES THERE WAS NO DISCLOSURE FROM THE AGENT OF A POTENTIAL RISK OF LOSS OF THE PRINCIPAL INVESTMENT AND DUE TO HER SITUATION SHOULD NOT HAVE BEEN PUT INTO ALL EQUITIES WHICH RESULTED IN A LOSS OF INTEREST AND PRINCIPAL.
- Damage Amount Requested: $6,018.00
- Arbitration Docket Number:
Should I file a FINRA complaint against brokers like CLARENCE EDWIN SMART?
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.
Frequently Asked Questions About CLARENCE EDWIN SMART
What is CLARENCE SMART's Central Registration Depository (CRD) Number?
Which firm is CLARENCE EDWIN SMART associated with?
Where is CLARENCE SMART located?
Where can I find more details about CLARENCE SMART's Investment Firm?
Are there any disclosures, allegations or complaints filed against CLARENCE EDWIN SMART?
Where can I download a detailed FINRA report for CLARENCE SMART?
Is it safe to do business with CLARENCE EDWIN SMART?
All information displayed on this page is publicly available information under SEC guidelines, in compliance with 5 U.S.C. § 552 (Freedom of Information Act) and 5 U.S.C. § 552a (the Privacy Act) and is published unmodified, as provided by FINRA. BrokerAudit.com does not modify the data and makes no claims regarding its accuracy, nor will entertain any request to remove any entry. The inclusion of a person or entity in the BrokerAudit Database is not intended to suggest or imply that they have engaged in illegal or improper conduct related to FINRA. BrokerAudit.com intends to offer a platform where suspicious activities can be shared and discussed in a secure environment.
