There is. The experienced attorneys at Stoltmann Law Offices may be able to help you bring a claim against your brokerage firm in the Financial Industry Regulatory Authority (FINRA) arbitration forum on a contingency fee basis for Matthew Clary Smith losses. According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Mr. Smith was accused of maintaining approximately 122 customer-signed but blank forms for 47 clients to submit to ProEquities, his brokerage firm, in connection with mutual fund exchanges. This is a violation of firm policy and is against securities laws. For this, Smith was fined $5,000 and suspended from the industry for three months.
Smith was registered with IDS Life Insurance Company in Minneapolis, Minnesota from July 2004 until April 2006, Ameriprise in Minneapolis from July 2004 until April 2006, Northwestern Mutual Investment Services in Greenville, South Carolina from May 2006 until March 2009, First Heartland Capital in Spartanburg, South Carolina from March 2009 until April 2012 and ProEquities in Spartanburg from April 2012 until June 2016. He is currently registered with Heartland Capital in Spartanburg and has been since May 2016. Please call our Chicago-based law offices today to find out how you may be able to recover your losses on a contingency fee basis. The call is free with no obligation.
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