Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Smith (Smith), currently associated with Ausdal Financial Partners, Inc., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Smith recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $209,267.00 on October 16, 2024.
Claimant alleges violations of improper conduct, breach of fiduciary duties, negligence, breach of contract, Negligent supervision,\, and violation of applicable laws and industry rules.
