Raymond Smith Suspended over ETN Strategy
Raymond Smith (CRD# 731506), a broker registered with Smith Brown & Groover, failed to supervise the recommendation of exchange-traded notes, according to a recent disciplinary action. MDF Law is investigating the Macon, Georgia-based financial professional for similar conduct. Current or former clients with concerns about their accounts are encouraged to reach out for a free […]
Walter Bish, Smith Brown Broker, Suspended over ETN Strategy
Walter Bish (CRD# 3214712), a broker registered with Smith Brown & Groover, inappropriately recommended exchange-traded notes, according to a recent disciplinary action. MDF Law is investigating the Macon, Georgia-based financial professional for similar conduct. If you have concerns regarding investments in your accounts, call today for a free, confidential consultation with our attorneys. To learn […]
Tim Hemingway Suspended over ETN Recommendations
Tim Hemingway (CRD# 5013252), a broker registered with Smith Brown & Groover, improperly recommended an exchange-traded note, according to a recent disciplinary action. MDF Law is investigating the Macon, Georgia-based financial professional for similar conduct. We encourage investors with concerns about their accounts to reach out for a free, confidential discussion about their case. To […]
Richard Urciuoli: SEC Sanctions Adviser over VXX ETN Trading
Richard Urciuoli (CRD# 1239283), an investment adviser registered with Summit Planning Group, engaged in unsuitable trading involving VXX exchange-traded notes (ETNs), according to a recent order by the Securities and Exchange Commission (SEC). MDF Law is investigating the former East Syracuse-based LPL Financial broker for similar conduct. Investors with complaints should immediately contact an attorney. […]