RedFlag, Allegation and/or Complaint against KYLE THOMAS SMITH
Disclosure #1 for KYLE SMITH
-
- Event Date: 12/2/2003
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Closed-No Action
- Disclosure Detail :: Allegations: ALLEGES THAT SHE EVER UNDERSTOOD THE HOLDINGS WERE RISKY AND THAT THEY WERE IN THE SAME HIGH RISK TECHNOLOGY AREA . . . [THAT HER \OBJECTIVES WERE TO EARN INCOME WITH LOW RISK TOLERANCE AND TO HER KNOWLEDGE SHE HAD NEVER GIVEN KYLE SMITH…ANY INDICATION OF A CHANGE…\ TIME PERIOD: UNSPECIFIED.
- Damage Amount Requested: $104,828.55
- Arbitration Docket Number:
- Broker Comment: CLIENT REJECTED SETTLEMENT OFFER.
Should I file a FINRA complaint against brokers like KYLE THOMAS 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.
Frequently Asked Questions About KYLE THOMAS SMITH
What is KYLE SMITH's Central Registration Depository (CRD) Number?
Which firm is KYLE THOMAS SMITH associated with?
Where is KYLE SMITH located?
Where can I find more details about KYLE SMITH's Investment Firm?
Are there any disclosures, allegations or complaints filed against KYLE THOMAS SMITH?
Where can I download a detailed FINRA report for KYLE SMITH?
Is it safe to do business with KYLE THOMAS SMITH?
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.
Originally reported on November 17, 2022 @ 8:59 pm
