According to recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Adam C. Smith was accused of accepting gifts totaling $105,000 from two customers. This was against his firm’s rules. This occurred between October 2010 and January 2011. This is against securities rules and regulations. For this, Smith was suspended from the industry for one year and fined $10,000. If you suffered losses with Mr. Smith, you may be able to recover those losses in the Financial Industry Regulatory Authority (FINRA) on a contingency fee basis by calling us at 312-332-4200. We are attorneys who recover money for investors. The call is free with no obligation. Please call today.
Smith is registered with Merrill Lynch in Boston, Massachusetts and has been since December 1998.
The posting on this site are mere OPINIONS and NOT statements of fact in any way whatsoever. The information should not be relied upon and there have been no findings made against the firms or individuals referenced on this site. In addition, this Blog is made available for educational purposes only and incorporates information from the web as well as to give you general information and a general understanding of the law, not to provide specific legal advice. By using this blog site you understand that there is no attorney client relationship between you and Stoltmann Law Offices (161 N Clark Street 16th Floor Chicago, IL 60601). The Blog opinions should not be used as a substitute for competent legal advice from a licensed professional attorney in your state.
PLEASE NOTE THIS IS ADVERTISING AND IT IS NOT A NEWSPAPER ARTICLE OR POST FROM AN INDEPENDENT OR NON-BIASED, NEWS SITE, NEWS SOURCE OR NEWSPAPER.