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.
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