Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Smith (Smith), currently associated with Calton & Associates, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Smith recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $85,339.41 on April 15, 2021.
Client alleged recommendations & strategy were unsuitable . Date of activity leading to the allegations was 2010