Robert K Smith- Former Berthel Fisher Broker-Discloses Customer Disputes- Mobile, Alabama

Robert K Smith- Former Berthel Fisher Broker-Discloses Customer Disputes- Mobile, Alabama 150 150 Robert Rex, Esq.

UPDATE MARCH 2017-In  April 2016 Robert K. Smith was suspended by FINRA for three. The suspension was lifted July 12, 2016.  Smith currently discloses a total of 13 prior customer disputes that are final. He is not currently registered with any broker dealer.

In one of the prior customer disputes, FINRA Case #15-0149, a customer or Proequities Inc. alleged damages of $500,000 for failure to adequately disclose liquidity risk, failure to perform adequate due diligence, lack of suitability and lack of supervision. That case was settled for $210,000.

ORIGINAL POST July 10, 2015- Mobile, Alabama

Rex Securities Law is investigating former stock broker Robert Keith Smith on behalf of a retiree  who believes he was sold unsuitable investments including Cypress Equipment Fund and Strategic Storage Trust.

According to FINRA records, Smith is not currently registered with FINRA. He was previously registered with Berthel Fisher & Company Financial Services from 6/2010 until 6/2014 when he was terminated by Berthel Fisher. Prior to that he was registered with ProEquities, Inc. from 5/2006-6/2010.

FINRA records reveal that Smith has been named  in  ten prior customer complaints, several of which involve alternative investments in oil & gas and real estate investment trusts (REITs)

If you have information you believe would be helpful in this investigation, please contact us. If you have losses in an account handled by Robert Keith Smith , call to learn how you may be entitled to collect damages from his former employing firm.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

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