Articles Posted in Scott Smith

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Smith (Smith), previously associated with J.w. Cole Financial, INC., has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Smith recommended unsuitable investments in different investment products including debt…

Please note: This article does NOT relate to Scott D. Smith – a current Ameriprise Advisor. The Financial Industry Regulatory Authority (FINRA) sanctioned broker Scott Smith (Smith) concerning allegations that between October 2009 and January 2013, Smith mismarked as unsolicited order tickets for thousands of trades that were actually solicited…