MARK A. SMITH at SANFORD C. BERNSTEIN & CO., LLC – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 4660385
MARK A. SMITH is an Investment Adviser, associated with SANFORD C. BERNSTEIN & CO., LLC located at NEW YORK, NY. MARK SMITH’s Central Registration Depository (CRD) number is 4660385 and the FINRA Profile can be found at – https://brokercheck.finra.org/individual/summary/5134112.

Disclosure #1 for MARK SMITH

    • Event Date: 8/17/2011
    • Disclosure Type: Customer Dispute
    • Disclosure Resolution: Settled
    • Disclosure Detail :: Allegations: CUSTOMER ALLEGES THAT REGISTERED REPRESENTATIVE DID NOT DISCLOSE CERTAIN INVESTMENT RISKS.
    • Damage Amount Requested: $700,000.00
    • Settlement Amount: $175,000.00
    • Arbitration Docket Number:
    • Broker Comment: BERNSTEIN AGREED TO SETTLE THE MATTER WITHOUT ADMITTING TO ANY LIABILITY WITH RESPECT TO THE ALLEGATIONS MADE BY THE CLAIMANTS. THE REGISTERED REPRESENTATIVE WAS NOT ASKED TO AND DID NOT CONTRIBUTE TO THE SETTLEMENT.


Should I file a FINRA complaint against brokers like MARK A. 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 MARK A. 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 MARK A. SMITH

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

4660385

Which firm is MARK A. SMITH associated with?

SANFORD C. BERNSTEIN & CO., LLC

Where is MARK SMITH located?

1345 AVENUE OF THE AMERICAS, NEW YORK, NY, 10105

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

Visit https://brokercheck.finra.org/firm/summary/104474 to read a detailed report for SANFORD C. BERNSTEIN & CO., LLC

Are there any disclosures, allegations or complaints filed against MARK A. SMITH?

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

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

Click here to download a detailed FINRA report for MARK SMITH

Is it safe to do business with MARK A. SMITH?

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


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