Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Smith (Smith), previously associated with Transamerica Financial Advisors, 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 settled customer complaint with a damage request of $72,000.00 on March 22, 2022.
Claimants allege that representative approached her them about the potential to invest in a crypto deal. Claimants invested $77000 and was supposed to receive her funds back from rep by Feb 22, 2021. Claimants have only been able to retrieve $5,000 of their funds back from the representative.