Last Updated: February 2026 — Naples, FL
Here’s what you need to know about Naples, Florida stockbroker Dustin Allen Smith :
- Name: Dustin Allen Smith
- Current Employer: Citizens Securities, Inc.
- Prior Firms:
- RBC Capital Markets, LLC
- UBS Financial Services Inc.
- Citizens Private Wealth
- Other Business Affiliations: None reported
- CRD Number: 2803156
- Stockbroker / Financial Advisor: Yes
- Can Broker be Sued in FINRA: Yes
- Sanctioned by Securities Regulators: No reported regulatory sanctions
- Current Customer Dispute Seeks Total Damages of: $2,000,000
If you’ve sustained damages from Mr. Smith, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Dustin Allen Smith as Your Stockbroker?
- Pending FINRA Arbitration (Filed December 2025):
While employed at RBC Capital Markets, LLC, claimants allege that Mr. Smith invested the entirety of their retirement assets into illiquid structured notes, exposing them to undue risk. Damages of $2 million are sought in this pending matter.
Allegations of Broker Misconduct Against Dustin Allen Smith
- Unsuitability — recommending investments inconsistent with a customer’s risk tolerance or investment objectives, potentially implicating FINRA Rule 2111 (Suitability) and SEC Regulation Best Interest (Reg BI).
Structured Products: Sometimes referred to as market-linked investments, Structured Products are pre-packaged investments whose performance is linked to an underlying asset, product or index. ( a single security, basket of securities, options, indices, commodities, debt issuance, foreign currencies or derivatives). See this for FINRA’s Investor Insights “Understanding Structured Notes with Principal Protection”
Recover Your Investment Losses Now With Rex Securities Law
Other Investigations of RBC Capital Markets Brokers
If you have suffered investment losses in an account handled by Dustin Allen Smith, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis, meaning that you do not pay legal fees unless we are successful.