JACKY WILLIAM SMITH at STIFEL, NICOLAUS & COMPANY, INCORPORATED – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 1640387
JACKY WILLIAM SMITH is an Investment Adviser, associated with STIFEL, NICOLAUS & COMPANY, INCORPORATED located at ORLAND PARK, IL. JACKY SMITH’s Central Registration Depository (CRD) number is 1640387 and the FINRA Profile can be found at – https://brokercheck.finra.org/individual/summary/5134112.

Disclosure #1 for JACKY SMITH

    • Event Date: 7/27/1994
    • Disclosure Type: Customer Dispute
    • Disclosure Resolution: Settled
    • Disclosure Detail :: Allegations: MISREPRESENTATION; ACCOUNT RELATED-BREACH OF CONTRACT; ACCOUNT RELATED NEGLIGENCE; BREACH OF FIDUCIARY DUTY
    • Damage Amount Requested: $182,805.93
    • Settlement Amount: $30,000.00
    • Arbitration Claim File Detail: 94-02833
    • Arbitration Docket Number:
    • Broker Comment: ACTUAL/COMPENSATORY DAMAGES, RELIEF REQUEST IS WITHDRAWN. ACCOUNT WAS INITIALLY HANDLED BY I.E. [OTHER FIRM EMPLOYEE, [OTHER FIRM EMPLOYEE LEFT STIFEL BUT CONTINUED TO PLACE ORDERS FOR THE ACCOUNT THROUGH I.E. JACK SMITH, WHO BELIEVED THAT WRITTEN AUTHORIZATION WAS ON FILE. AFTER [OTHER FIRM EMPLOYEE PLEAD GUILTY TO WIRE FRAUD. CUSTOMER CLAIMED THAT TRADING IN HIS ACCOUNT WAS UNAUTHORIZED. CLAIM BELIEVED TO BE WITHOUT MERIT AND COLLUSIVE AS BETWEEN CUSTOMER AND [OTHER FIRM EMPLOYEE; SETTLED FOR A SMALL FRACTION OF AMOUNT CLAIMED TO AVOID EXPENSE OF ARBITRATION. STIFEL PAID $25,000.00 AND SMITH PAID $5,000.00.


Should I file a FINRA complaint against brokers like JACKY WILLIAM 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.

Update - 2022.11.15If you have suffered investment losses that may have been caused by JACKY WILLIAM SMITH’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!

 
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Frequently Asked Questions About JACKY WILLIAM SMITH

What is JACKY SMITH's Central Registration Depository (CRD) Number?

1640387

Which firm is JACKY WILLIAM SMITH associated with?

STIFEL, NICOLAUS & COMPANY, INCORPORATED

Where is JACKY SMITH located?

10310 ORLAND PARKWAY, SUITE 104, ORLAND PARK, IL, 60467

Where can I find more details about JACKY SMITH's Investment Firm?

Visit https://brokercheck.finra.org/firm/summary/793 to read a detailed report for STIFEL, NICOLAUS & COMPANY, INCORPORATED

Are there any disclosures, allegations or complaints filed against JACKY WILLIAM SMITH?

Yes. There are disclosures, allegations, or complaints filed against JACKY WILLIAM SMITH. Click here to view all details

Where can I download a detailed FINRA report for JACKY SMITH?

Click here to download a detailed FINRA report for JACKY SMITH

Is it safe to do business with JACKY WILLIAM SMITH?

We’re not sure. Please research JACKY SMITH’s disclosures, allegations and complaints before taking a decision


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