Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on July 26, 2017 indicate that former Florida-based Primex broker/adviser Carl Smith has received a customer dispute and currently is not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Smith (CRD# 2490551).
Carl Smith has spent 22 years in the securities industry and was most recently registered with Primex in Coral Springs, Florida (2016-2017). Previous registrations include Newbridge Securities Corporation in Coral Springs, Florida; Lasalle St. Securities in Coral Springs, Florida; JP Turner & Company in Atlanta, Georgia; Argent Securities in Atlanta, Georgia; Corporate Securities Group in St. Louis, Missouri; Joseph Roberts & Company in Pompano Beach, Florida; and Joseph Stevens & Company in Brooklyn, New York. He is currently not registered with any state or firm.
According to his BrokerCheck report, Carl Smith has received one customer complaint and one unsatisfied civil judgment.
In 2016 a customer alleged Carl Smith, while employed at Newbridge Securities Corporation, recommended unsuitable investments, executed unauthorized trades, acted negligently, failed in his supervisory duties, misrepresented material facts, breached contract, and breached his fiduciary duty. The complaint settled in April 2017 for $42,167.
In 2010 American Express filed a civil judgment totaling $38,435 against Carl Smith. The judgment, which Mr. Smith is disputing “because of possible unauthorized charges,” remains outstanding.
If you or someone you know has lost money investing with Carl Smith, call the experienced attorneys at Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.