DID JULIANN FAYARD SMITH CAUSE YOU INVESTMENT LOSSES?
Juliann Smith Of Moloney Securities Co., Inc. Has 4 Customer Complaints For Alleged Broker Misconduct
About Juliann Smith of Moloney Securities Co., Inc.?
Juliann Smith (CRD #1338081) ) is currently registered with Moloney Securities Co., Inc., based in Kansas City, Missouri, where she has been employed since September 2003. Smith has a lengthy career in the financial services industry, having previously worked with multiple firms including The O.N. Equity Sales Company, Vestax Securities Corporation, and Walnut Street Securities, Inc. She is registered with one Self-Regulatory Organization (SRO) and is licensed in 12 U.S. states and territories. Smith has passed two general industry/product exams and one multi-state securities law exam.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Juliann Smith Customer Complaints and Reviews
Juliann F. Smith has several disclosure events on her record:
- Customer Disputes (4 reported):
- Three disputes have been settled with varying settlement amounts, involving allegations of suitability and negligence concerning corporate debt products from 2016 to 2020.
- One dispute is currently pending, involving allegations related to an annuity product from 2017 to 2024, with the client seeking to exit an annuity contract.
- Termination (1 incident):
- Juliann Smith was discharged from The O.N. Equity Sales Company in May 2003 due to alleged compliance infractions discovered during an audit, including issues with client paperwork and timely business submission.
- Judgments/Liens (3 reported):
- Liens include tax-related issues with both the Internal Revenue Service and the State of Kansas, with amounts ranging up to approximately $133,126, some of which were still outstanding as of the last update.
Allegations Against Richard Hill, II
- Customer Dispute Allegations:
- Suitability: Questions raised about the appropriateness of the investments recommended.
- Negligence: Allegations regarding negligence in handling client investments.
- Termination Allegations:
- Compliance infractions: Allegations include incomplete client paperwork and delayed submission of business.
- Judgment/Lien Allegations:
- Financial irresponsibility: Tax liens indicating significant outstanding tax obligations.
Juliann Smith Red Flags & Your Rights As An Investor
Of course, Juliann Smith did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Juliann Smith at Moloney Securities Co., Inc. on alert to review carefully the activity and performance of their accounts and question whether Juliann Smith has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Moloney Securities Co., Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Moloney Securities Co., Inc. Due To Juliann Smith
If you have questions about Moloney Securities Co., Inc. and/or Juliann Smith and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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