RedFlag, Allegation and/or Complaint against SCOTT F SMALLEY
Disclosure #1 for SCOTT SMALLEY
- Event Date: 6/10/2008
- Disclosure Type: Criminal
- Resolution: Final Disposition
- Criminal Charges :: Charges: INDECENT LIBERTIES W/CHILD BY PARENT/ETC
- Disposition: Reduced
- Amended Charges: SEXUAL BATTERY BY FORCE
- Amended Charge Type: MISDEMEANOR
- Amended Charge Disposition: AMENDED PURSUANT TO PLEA AGREEMENT Charges: ASSAULT & BATTERY
- Disposition: Convicted
Should I file a FINRA complaint against brokers like SCOTT F SMALLEY?
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 reported on November 17, 2022 @ 7:57 pm