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Written by 6:54 pm Blog, Broker Investigations

Kevin P. Smith Broker Investigation

Kevin P. Smith Broker Investigation, featured by top securities fraud attorneys, The White Law Group

Financial Advisor Kevin P. Smith, Morgan Stanley in Minneapolis, MN

Are you concerned about investments with Kevin P. Smith in Minneapolis, MN? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Dispute Resolution claim.

Kevin P. Smith of Edina, MN, has reportedly been permanently barred from using the Certified Financial Planner designation for allegedly failing to appear to testify before FINRA and was subsequently barred from association with any FINRA member, according to the CFP Board of Standards on May 1, 2019.

According to his FINRA BrokerCheck report, Smith was reportedly affiliated with Morgan Stanley in Minneapolis, MN from November 2007 until he was allegedly discharged in October 2016 for

“Allegations related to representative’s activities while trustee on a family member’s trust and related to a trade that may have been executed without confirming with the client beforehand, according to the client.” FINRA reportedly barred Smith after allegations when he reportedly failed to provide testimony in its investigation.

After leaving Morgan Stanley, Smith’s broker report indicates he purportedly worked for Contego Capital Advisor until he reportedly resigned in October 2018. He reportedly has 1 customer complaint on his broker check record, according to FINRA. Allegations include misrepresentation.

Investigating Potential Claims

The White Law Group is investigating potential lawsuits regarding the liability that Smith’s employers may have for failure to properly supervise him.

When brokers violate securities laws, such as making unsuitable investments or excessive trades, the brokerage firm they are working with may be liable for investment losses through FINRA Arbitration.

Brokerage firms that fail to monitor the business activities of their employees may be liable for investment losses due to negligent supervision for the misconduct of their employees.

The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Franklin, Tennessee.We represent investors in FINRA arbitration claims in all 50 states, including Minnesota. Our attorneys have recovered millions of dollars from many brokerage firms in the past.

If you are concerned about your investments with Kevin P. Smith, please call the securities fraud attorneys at The White Law Group at 888-637-5510 for a free consultation.

For more information on The White Law Group, and its representation of investors, please visit https://whitesecuritieslaw.com.


Tags: , , , , , , , , , Last modified: October 25, 2023