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Fred Smith Has Received Five Investor Complaints

Fred SmithPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 7, 2018 indicate that former Tennessee-based Signator Investors broker/adviser Fred Smith has been involved in several customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Smith (CRD# 5654465).

Fred Smith has spent seven years in the securities industry and was most recently registered with Signator Investors in Lafayette, Tennessee (2015-2017). Previous registrations include Signator Financial Services in Lafayette, Tennessee (2010-2015); Cambridge Investment Research in Lafayette, Tennessee (2010); and Edward Jones in Red Boiling Springs, Tennessee (2009). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on May 29, 2009, and Series 7 (General Securities Representative Examination), which he obtained on May 19, 2009. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received five customer complaints.

In September 2017 a customer alleged Fred Smith, while employed at Signator Investors, recommended an unsuitable certificate of deposit. The complaint settled in October 2017 for more than $9,100.

In June 2017 a customer alleged Fred Smith, while employed at Signator Investors, misrepresented material facts related to an investment. The complaint settled in August 2017 for more than $40,900.

In June 2017 a customer alleged Fred Smith, while employed at Signator Investors, misrepresented material facts related to corporate bond products. The complaint settled for more than $10,400.

In June 2017 a customer alleged he, while employed at Signator Investors, misrepresented material facts related to an investment in corporate bonds. The complaint settled for more than $26,900.

In June 2017 a customer alleged he, while employed at Signator Investors, recommended an unsuitable investment in a certificate of deposit. The complaint settled for more than $29,500.

If you or someone you know has complaints regarding Fred Smith, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on a contingency basis: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.