Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Donald Smith (Smith), previously associated with Provident Private Capital Partners, INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Smith recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on March 27, 2023.
Respondent Smith failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.