Last Updated: November 2023 (Citra, Florida)
Joseph P. Smith, Jr. Investigation Summary
Here’s what you need to know about Citra, FL, stockbroker Joseph Smith, Jr. :
- Name: Mr. Joseph Phillip Smith, Jr.
- Current Employer: Kingswood Capital Partners
- Previous Firms: Newbridge Securities Corp., R.M. Stark & Co., The Strategic Financial Alliance
- Function: Stock Broker/ Financial Advisor
- Aliases: Joseph Smith, Jr.
- Primary Location: Citra, Florida
- CRD 428137
- Can Joseph Smith, Jr. be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Pending Customer Dispute Seeks Damages of between $100,000-$500,000
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Joseph P. Smith, Jr. As Your Stockbroker?
A customer of Newbridge Securities has filed a FINRA arbitration alleging that Joseph Smith, Jr. breached his fiduciary duty and violated state securities statutes causing damages in the range of $100,000- $500,000. This matter is currently pending.
Allegations of Broker Misconduct Against Joseph P. Smith, Jr.
Customers of Joseph Smith, Jr. have alleged the following wrongdoing in connection with the handling of customer accounts
- Breach of Contract
- Violation of State Securities Statutes
- Breach of Fiduciary Duty
- Vicarious Liability
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Joseph Smith, Jr., 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.
