Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeremy Smith (Smith), currently associated with United Planners’ Financial Services of America A Limited Partner, has at least one disclosable event. These events include one customer complaint, 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 $50,000.00 on November 26, 2024.
Unsuitable recommendation based upon the clients’ risk profile.
