Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with Kevin Smith. If you suffered losses investing with Kevin Smith, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Kevin Smith (CRD# 1363302)
As of October 1, 2019, Kevin Smith’s FINRA BrokerCheck Report contains the following:
Disclosure Events
1 Customer Dispute(s)
1 Regulatory Event(s)
2 Employment Separation After Allegations
Current and Previous Registrations
06/01/2009 – 11/02/2016 MORGAN STANLEY (CRD#:149777) MINNEAPOLIS, MN
11/09/2007 – 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) MINNEAPOLIS, MN
08/12/2006 – 11/21/2007 UBS FINANCIAL SERVICES INC. (CRD#:8174) EDINA, MN
01/05/2001 – 08/12/2006 PIPER JAFFRAY & CO. (CRD#:665) EDINA, MN
01/03/1994 – 01/09/2001 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
04/24/1985 – 01/07/1994 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
04/24/1985 – 12/24/1986 IDS FINANCIAL SERVICES INC. (CRD#:6320)
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with Kevin Smith and would like a free consultation with a securities attorney, then please call Galvin Legal at 1-800-405-5117.
Galvin Legal is a national securities arbitration, mediation, fraud, and investor protection law practice. For more information on Galvin Legal, please visit www.galvinlegal.com or call 1-800-405-5117.
