National investment loss lawyers KlaymanToskes is investigating broker Stephen Smith (CRD# 2632131) of Cetera Investment Services following the law firm’s filing of a customer complaint with the Financial Industry Regulatory Authority (“FINRA”), alleging investor damages over $100,000 due to unsuitable recommendations to invest in an unsuitable fixed annuity and an equity indexed annuity.
According to FINRA BrokerCheck, broker Stephen Smith is currently registered with Cetera Investment Services and Cetera Investment Advisers in Fort Myers, FL.
Investors that suffered losses with broker Stephen Smith are encouraged to contact attorney Lawrence L. Klayman, Esq., at 888-997-9956 or by email at investigations@klaymantoskes.com to discuss recovery options. We do not collect attorney’s fees unless we are able to obtain a financial recovery for you.
KlaymanToskes is a leading national investment loss law firm that represents the interests of investors throughout the world who have suffered losses due to broker misconduct, investment fraud, and securities violations.
The article linked below contains important information relating to the complaint against broker Stephen Smith:
If you suffered losses with broker Stephen Smith, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation.
The firm has helped recover over $600 million (exclusive of attorneys fees and costs) for investors, and can help you determine if your loss is due to financial advisor misconduct, unsuitable investment advice, and/or other securities violations.
As an investor, there are a few signs that you should look out for if you believe you may have a claim against broker Stephen Smith. These signs could potentially indicate misconduct, negligence, or investment fraud. Investors are encouraged to contact our firm immediately if you have experienced any of the following:
Some investors have close relationships with their brokers due to the time and trust built over the course of their investment relationship. However, it is crucial to remember that financial decisions should be based on careful analysis and due diligence rather than solely relying on personal relationships.
According to FINRA and the SEC, investment firms such as Cetera Investment Services are responsible for the supervision of all of the activities of their registered brokers/investment advisors. Investors may be entitled to a financial recovery if their firm failed to supervise the representative managing their account, and/or if their financial advisor made unsuitable investment recommendations.
Engaging the services of an experienced securities attorney to evaluate your specific circumstances is strongly advised. At KlaymanToskes, our team of experienced securities attorneys has a deep understanding of this complex area of law, allowing us to provide invaluable insight and tailored guidance that directly addresses your individual needs.
If you suffered losses with broker Stephen Smith, or have concerns regarding your investment portfolio at Cetera Investment Services, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation to discuss your recovery options.