Articles Tagged with David Smith

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Smith (Smith), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Smith recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $124,692.25 on February 05, 2026.

Incorporation of Recitals and Regulatory Standards, Unauthorized Liquidation and Distribution of assets, Negligence, Breach of Fiduciary Duty, Supervisory Failures and Admissions, Breach of Contract. Allegations are related to the liquidation and distribution of assets from the client's account due to her reps email being compromised and distribution requests being submitted with signatures that appeared to be the from the client and the rep.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Smith (Smith), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Smith recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $3,870,000.00 on February 13, 2025.

Breach of Fiduciary Duty, Negligence and Reg BI, Failure to supervise.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Smith (Smith), currently associated with Ausdal Financial Partners, Inc., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Smith recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $209,267.00 on October 16, 2024.

Claimant alleges violations of improper conduct, breach of fiduciary duties, negligence, breach of contract, Negligent supervision,\, and violation of applicable laws and industry rules.