Soreide Law Group, obtained the following summary of information from FINRA’s website under “Disciplinary and Other FINRA Actions, October, 2014.”
Craig Shiver Smith (CRD #3103610, Birmingham, Alabama)
was barred by FINRA for alleged unauthorized trades in a customer’s account, and exercised time and price discretion without written authority from the client.
FINRA's findings stated that a client instructed him to sell the equities positions in his account for $64,000. Instead Smith used discretion to only sell certain holdings. Smith allegedly traded in order to generate commissions.
According to FINRA, Smith's firm's policy did not permit exercising discretion in that particular type of account and Smith did not have written discretionary authority from the client.
(FINRA Case #2013038196001)
Craig Smith was previously registered with the following securities firm(s):
11/2009 - 09/2013 SAGEPOINT FINANCIAL, INC. (CRD# 133763) - HOOVER, AL
07/2007 - 11/2009 LPL FINANCIAL CORPORATION (CRD# 6413) - BIRMINGHAM, AL
11/2004 - 06/2007 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD# 7691) - BIRMINGHAM, AL
06/2003 - 11/2004 TD WATERHO-- USE INVESTOR SERVICES, INC. (CRD# 7870) - OMAHA, NE
08/1998 - 04/2003 COMPASS BROKERAGE, INC. (CRD# 17086) - BIRMINGHAM, AL
This ends the summary of information from FINRA's website.
If you have become a victim of unauthorized trading, please contact Soreide Law Group for a free consultation with an attorney at 888-760-6552.
Zachary Cuyler Green, also known as Zach Green (CRD: 5714566), is a securities broker based in Raleigh, North Carolina. A client has claimed investment losses in a complaint involving Green, according to Financial Industry Regulatory Authority (FINRA) BrokerCheck. Green worked with Merit Financial Advisors since May 8, 2025, and Purshe Kaplan Sterling Investments since May […]
Adam T. Taff, also known as Adam Taff (CRD: 5933315), is a securities broker and financial advisor in Charlotte, North Carolina. He has been registered with MML Investors Services LLC as a broker since July 26, 2011, and as a financial advisor since November 30, 2012. Taff disclosed a client complaint involving alleged investment losses, […]
Investors might have sustained losses due to securities broker Donald Paul Robbins [CRD: 4364668, Waxhaw, North Carolina], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Robbins has been registered with MML Investors Services LLC as a broker since April 8, 2016, and as a financial advisor since April 12, 2016. Keep reading […]
Phone:
Fax: 1-954-760-6553
Email: [email protected]