Investors reportedly complained about securities broker Juliann Fayard Smith (also known as Julie Smith) [CRD: 1338081, Kansas City, Missouri], according to publicly available information on FINRA BrokerCheck. Evidently, Smith joined Moloney Securities Co. on September 5, 2003. Keep reading to learn more about the disclosures involving this broker.
Evidently, on May 6, 2024, a Moloney Securities Co. client filed a complaint about Juliann Smith. Evidently, the client alleged that Smith was negligent and made unsuitable recommendations. Because of this, the investor allegedly sustained damages connected to variable annuities. As a result, the client requested $66,900.00 in compensation from Moloney Securities Co. or Smith.
Also, a client of Moloney Securities Co. contested Juliann Smith’s conduct by bringing FINRA Arbitration No. 23-01075. Allegedly, Smith made unsuitable recommendation and was negligent relating to corporate bonds. Therefore, Moloney Securities Co. agreed to settle the dispute on April 21, 2023, by paying compensation amounting to $75,000.00.
Particularly, a client of Moloney Securities Co. disputed Smith’s sales practices by filing FINRA Arbitration No. 22-01695. Allegedly, Smith was negligent and gave unsuitable advice. It appears that Smith caused the client to sustain damages linked to corporate bonds. As a result, Moloney Securities Co. opted to settle the matter on October 25, 2023, by paying compensation totaling $7,000.
Additionally, a client of Moloney Securities Co. contested Smith’s sales practices by bringing FINRA Arbitration No. 22-01683. Allegedly, Smith made unsuitable recommendations and was negligent. For this reason, Moloney Securities Co. opted to settle the dispute on August 17, 2023, by paying $70,000.
Do you have concerns or questions regarding investments you made with Juliann Smith? You can get in touch with Soreide Law Group at (888) 760-6552 or online to speak with a securities lawyer concerning your legal rights and options. For over a decade, Soreide Law Group has recovered losses for clients throughout the country. Also, the firm takes cases on a contingency fee basis and advances all costs. Smith and brokerage firms Smith worked for deny accusations made against them.
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