Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rick Smith (Smith), currently associated with State Farm Vp Management Corp., 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 $296.80 on July 26, 2023.
Theft complaint – Customer had an auto policy & his ex-wife called to change the address but not the payment info which was Brad’s credit card.