RedFlag, Allegation and/or Complaint against LARRY WINSTON SMITH
Disclosure #1 for LARRY SMITH
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- Event Date: 7/14/2003
- Disclosure Type: Criminal
- Resolution: Final Disposition
- Criminal Charges :: Charges: POSSESSION OF COCAINE
- Disposition: Reduced
- Amended Charges: USE/POSSESS DRUG PARAPHERNALIA REDUCED TO MISDEMEANOR
- Amended Charge Type: MISDEMEANOR
- Amended Charge Disposition: Dismissed
- Broker Comment: I WAS ARRESTED FOR POSSESSION OF A CONTROLLED SUBSTANCE DURING A TRAFFIC STOP. IN ALABAMA, THAT IS A FELONY. IT WAS REDUCED TO A MISDEMEANOR IN COURT AND LATER NOL PROSS. I CAN FURNISH PROOF OF DOCUMENTS IF NECESSARY, HOWEVER, THIS OCCURRED OVER TEN YEARS AGO. I HAVE NOT HAD A DRINK OR A DRUG SINCE 12/30/2004, FYI, AND I HAVE NO CONVICTION(S) ON MY RECORD WHICH WAS BACKED UP BY THE BACKGROUND CHECKS MY EMPLOYER CONDUCTED. IF YOU NEED PAPERWORK, PLEASE CONTACT ME AT [email protected] OR CELL PHONE AT 251-490-3150. THANK YOU.
Should I file a FINRA complaint against brokers like LARRY WINSTON 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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Originally posted on November 17, 2022 @ 8:50 pm
